Finra Attorney Jobs in Connecticut

Mid-level Corporate Associate The candidate should have general experience in both working in teams and in managing substantial components of transactions/investments independently. Specific experience should include merger and acquisition transactions, growth ..

Associate General Counsel – Enforcement Responsibilities: Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Working with outside counsel in managing larger enforcement matters brought by the ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Interactive Brokers is looking for a motivated and talented litigation attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining ..

Associate General Counsel - Enforcement The candidate will be assisting the firm’s Chief Counsel on Investigations & Enforcement in handling various regulatory and enforcement-related matters, including handling regulatory inquiries from the ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Interactive Brokers is looking for a motivated and talented regulatory attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining ..