Post Jobs Upload Your Resume Log in

Broker Dealer Jobs in Agawam

4 jobs
  1. Legal Jobs
  2. Browse Legal Jobs
  3. Massachusetts
  4. Agawam
  5. Broker Dealer

Preview Results

Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

Direct-from-employer coverage Private search Less competition vs. paid ads
Filter by

Sign Up

United States
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...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Jul 20, 26
Full-time 6 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

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 Regulatory Authority in connection with transactions. - Support senior...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 08, 26
Full-time 79 views Experience : 7-15 yrs required
Practice Area:
Corporate - Contract Law Corporate - M&A Corporate - General
Job Tags:
acquisitions agreements banking brokers CCPA Commercial Law contracts Corporate Law due diligence FLSA Genetics Insurance Intellectual Property licensing Litigation M&A Partnership privacy laws regulatory compliance
Practice Area:
Corporate - Contract Law Corporate - M&A Corporate - General
Job Tags:
acquisitions agreements banking brokers CCPA Commercial Law contracts Corporate Law due diligence FLSA Genetics Insurance Intellectual Property licensing Litigation M&A Partnership privacy laws regulatory compliance

Title: General Counsel, Commercial Experience: 7-15 years of corporate law practice, with a focus on transactional commercial law and contract negotiations, review, and drafting. Location: Hartford, CT Salary: Competitive, based on experience Department: Legal Travel: Up to 10% H1:...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Aug 14, 26
Full-time 21 views Experience : 1-3 yrs required
Practice Area:
Insurance - Regulatory & Compliance Corporate - M&A Corporate - General
Practice Area:
Insurance - Regulatory & Compliance Corporate - M&A Corporate - General

in New York, NY or Chicago, IL. The successful candidate will join a team specializing in insurance laws, regulations, and corporate transactions, providing strategic counsel to industry on fund formation and investment compliance with broker-dealer mergers, ac...

Sign In or Sign Up in seconds to view this job on LawCrossing.

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

Lead Counsel - Broker-Dealer and Investment Advisor Practice... Group Duties: Providing legal advice and counsel supporting the needs of the Company’s broker-dealer. Be an integral part... of the Company’s distribution law team, which supports 3 broker-dealers and partners with compliance,... finance, procurement, information technology, and the business to provide practical, results-oriented legal advice. Providing legal support for FINRA, SEC, and state regulatory examinations, inq... 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

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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

Counsel - Internal Investigations Duties: Investigating, and providing legal advice in connection with, known or suspected acts of fraud and other acts of misconduct committed by or against MassMutual. The attorney will be responsible for investigations impacting the company ’ s various business lines, including, as examples only, life insurance matters (including Special Investigation Unit matters), state and federal securities matters (including broker/dealer and inves... 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

Consultant Duties: Will be working with guidance, perform basic to moderate compliance analysis, monitoring, and reporting within the company. May be responsible for one or more of the following specialties: advertising review, agency inspections, regulatory inquires audits and reviews, investigations, compliance risks associated with business technology, operations compliance, and ethics programs. May modify procedures or processes and undertake fact gathering an... 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

Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Compliance Consultant Duties: Will be working with guidance, perform basic to moderate compliance analysis, monitoring, and reporting within the company. May be responsible for one or more of t... 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

AVP & Counsel (Distribution) Duties: Providing legal support to core retail business areas. Advising on regulatory and compliance matters impacting regulated entities and CAS. Negotiating agreements. Advising on retail investment advisory and broker-dealer product development. Providing corporate... governance support to other stand-alone businesses. Providing key legal support to distribution, marketing and e-commerce initiatives. Developing and delivering formal training. D... 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

AVP & Counsel (Distribution) Duties: Providing legal support to core retail business areas. Advising on regulatory and compliance matters impacting regulated entities and CAS; Negotiating agreements; Advising on retail investment advisory and broker-dealer product development; Providing corporate... governance support businesses; Providing key legal support to distribution, marketing and e-commerce initiatives; Developing and delivering formal training; Developing and maintai... 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

Responsibilities: Will join the regulatory and trading team of the legal group.​ Will report to the Head of the Regulatory and Trading Legal Team.​ Will be primarily responsible for advising company on regulatory issues related to company's status as a registered investment adviser with the Securities and Exchange Commission, advising the business on client arrangements and advising on other general matters related to the functioning of a registered investment ad... 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 be primarily responsible for advising firm on regulatory issues related to firm’s status as a registered investment adviser with the Securities and Exchange Commission. Will be advising the business on client arrangements and advising on other general matters related to the functioning of a registered investment adviser. Report to the Head of the Regulatory and Trading Legal Team. Provide legal advice on regulatory issues related to firm’s stat... 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

Post - 50310297 Job Title Assistant Vice President, Mutual Fund and Investment Advisory Compliance Employment Type Regular Full-time Location Springfield STATE ST - MMFG Reference Code 0002-NC50310297_004 Company Chartered in 1851, Massachusetts Mutual Life Insurance Company ("MassMutual" or the "Company") is a leading mutual life insurance company that is run for the benefit of its members and participating policyholders. The Company has a long history of fin... 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

By Employer Type

In-House Recruiter Law Firm
Narrow Your Search Results - Try Advanced Search
Share these jobs with a friend