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Finra Jobs in New Britain

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United States
Posted On Jul 20, 26
Full-time 5 views Experience : Min 1 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate governance directors due diligence Financial Industry Regulatory Authority FINRA initial public offerings Mergers and Acquisitions Securities Securities Exchange Act of 1934 shareholders underwriters
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate governance directors due diligence Financial Industry Regulatory Authority FINRA initial public offerings Mergers and Acquisitions Securities Securities Exchange Act of 1934 shareholders underwriters

Title: Associate Attorneys - Capital Markets Job Responsibilities: - Represent underwriters, placement agents, or broker-dealers in various capital market transactions, including initial public offerings, secondary market offerings, registered direct offerings, and private placements. - Prepare relevant filings and responses with the Financial Industry...

Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Tax - Employee Benefits & Executive Compensation Tax-General Practice (Transaction) Corporate - General Tax - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Tax - Employee Benefits & Executive Compensation Tax-General Practice (Transaction) Corporate - General Tax - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and...

Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

  • ✅ LawCrossing has monitored employer hiring for 25+ years
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

The candidate will represent families and individuals in administrative hearings, and in state and federal courts, as well as (in various settings) advocating for changes in laws and systems to benefit low-income communities. Maintain an active caseload of representation and advice cases, including regular court and/or administrative hearing appearances. Conduct community outreach remotely and in-person in accordance with CDC guidelines and coordinate with other soc... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

The candidate will represent families and individuals in administrative hearings, and in state and federal courts, as well as (in various settings) advocating for changes in laws and systems to benefit low-income communities. Maintain an active caseload of representation and advice cases, including regular court and/or administrative hearing appearances. Conduct community outreach remotely and in-person in accordance with CDC guidelines and coordinate with other soc... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Assistant Duties: Working with in-house and outside clients to prepare and arrange for execution of contracts; Reviewing and recommending contract terms; Attending project kick-off and close-out meetings; Working with standard contract forms, such as AIA and DBLA Procuring bonds through surety agent; Procuring Owner insurance (primarily Builder’s Risk insurance); Tracking proposals needing legal review; Compare terms and conditions with prior bids/contracts; Preparin... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Assistant The candidate must have 2 years’ experience foreclosure, real estate or litigation.... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Liability/Auto Claims Specialist I Duties: With moderate direction, handles general liability and commercial auto claims of low to moderate exposure and complexity within specific limits of authority by following established protocols to ensure that claims are handled in the most efficient, effective way while delivering a customer-centric claims service. The job’s core deliverables rely on delivering service to external clients and/or customers. Typically involves... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Senior Counsel - Asset Management The candidate will oversee all aspects of company's asset management and investment advisory legal and compliance programs as they relate to the investment advisory platform, program and services offered and sponsored by company. Will work closely with company compliance officers and senior management from advisory services, finance, operations and marketing. Work closely with regulators and internal/external auditors as needed. Provide... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Attorney The candidate should have JD degree. Must have 1+ years of experience.... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Seeking an Associate with 3-5 years of broker-dealer regulatory experience. Should have experience with examinations, inquiries, investigations, and enforcement actions by the SEC, FINRA, the various stock, option... and commodity exchanges and state securities agencies. Service in a regulatory (., the SEC, CFTC, FINRA) enforcement organization would be... helpful. Experience with hedge funds, investment funds and investment advisers a plus.... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Broker Dealer Attorney The candidate will have responsibilities with regard to investment advisory, institutional products. Will provide support to a compliance unit; manage FINRA, SEC and other regulatory... inquiries and examinations; and assist in the preparation of policies and procedures. Must have 5-10 years of on-target experience counseling a retail broker dealer. Collective/Common Trust Fund experience is a great plus as well as an insurance company background or backg... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Litigation Associate The candidate should have 3-5 years of broker-dealer regulatory experience. Must have experience with examinations, inquiries, investigations, and enforcement actions by the SEC, FINRA, the various stock, option... and commodity exchanges and state securities agencies. Service in a regulatory (for example the SEC, CFTC, FINRA) enforcement organization would be... helpful. Experience with hedge funds, investment funds and investment advisers a plus.... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

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