EMPLOYMENT TUESDAY

August 8, 2011

Visit BrokeAndBroker.com's
Employment Page
for Additional Daily Job Listings

Aug 08 Registration Associate Investment Bank Compliance Search Group New York, NY

Independently analyze, prepare and submit to FINRA complete, accurate and timely Forms U4, ... monitor deficient and revoked licenses and FINRA disclosure letters Process electronic... READ

Aug 08 Branch Financial Advisor-Brandon Circuit PNC Brandon, FL

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required. * Life Insurance License required. * Bachelor's degree preferred with an emphasis on... READ 

Aug 08 Chief Compliance Officer NASDAQ OMX New York, NY

The Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and the New York Stock Exchange (NYSE). The CCO is also responsible for the overall... READ

Aug 07 REGIONAL MARKETING SPECIALIST - Internal Wholesaler (FINRA Series 6 & 63 required) Job Sun America Calabasas, CA

MARKETING SPECIALIST - Internal Wholesaler (FINRA Series 6 & 63 required) Job Profession: ... MARKETING SPECIALIST - Internal Wholesaler (FINRA Series 6 & 63 required)Job ID #:... READ

Aug 06 Financial Advisor/ Battle Creek, Mi Job Sun America Battle Creek, MI

3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... READ 

Aug 06 Financial Advisor/ Chillicothe, OH Job Sun America Chillicothe, OH

3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... READ  

Aug 06 Financial Advisor/ Wichita, KS Job Sun America Wichita, KS

3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... READ  

Aug 06 Financial Advisor/ Columbus/OH Job Sun America Columbus, OH

3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... READ  

Aug 05 Investment Sales Professional Kforce Finance & Accounting Thousand Oaks, CA

Our client is seeking a FINRA licensed candidate for a direct hire employment opportunity. This is not an advisory role but a true business development role. Candidates who have... READ  

Aug 05 Investment Sales Professional Kforce Finance & Accounting Roseville, CA

Our client is seeking a FINRA licensed candidate for a direct hire employment opportunity. This is not an advisory role but a true business development role. Candidates who have... READ  

Aug 05 Investment Sales Professional Kforce Finance & Accounting Paramus, NJ

Our client is seeking a FINRA licensed candidate for a direct hire employment opportunity. This is not an advisory role but a true business development role. Candidates who have... READ  

Aug 05 Investment Sales Professional Kforce Finance & Accounting Rancho Cucamonga, CA

Our client is seeking a FINRA licensed candidate for a direct hire employment opportunity. This is not an advisory role but a true business development role. Candidates who have... READ  

Aug 05 Investment Sales Professional Kforce Finance & Accounting San Francisco, CA

Our client is seeking a FINRA licensed candidate for a direct hire employment opportunity. This is not an advisory role but a true business development role. Candidates who have... READ  

Aug 05 Financial Advisor- Allentown, PA Job Sun America Allentown, PA

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... READ  

Aug 05 Financial Advisor - Ft Collins / Minneapolis Job Sun America Minneapolis, MN

* 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... READ  

Aug 05 Compliance Consultant 1 Wells Fargo Irving, TX

but possess the ability to work independently Strong communications and analytical skills required. Proficiency in MS Office requiredKnowledge of FINRA and SEC advertising rules... READ  

Aug 05 Wbs Registered Client Assoc 1 Wells Fargo Juneau, AK

years investment support experience; FINRA registration; Series 7, 63, 65 licenses or equivalent and state life and insurance licenses.2+ years investment support experience;Must... more READ 

Aug 04 Regulatory Analyst - Market Regulation, OATS - Risk Management job Financial Industry Regulatory Authority Rockville, MD

relevant rules and regulations enforced by FINRA; performs preventive compliance ... to the FINRA career site, please type www.finra.org/careers in your browser to reach... READ

Aug 04 Financial Advisor/ Appleton, WI Job Sun America Appleton, WI

3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... READ

Aug 04 Sales Manager Waddell and Reed/tacoma Tacoma, WA

compliance practices in accordance with FINRA and corporate supervisory procedures. Support corporate initiatives as defined by company management. If you are interested in... READ

Aug 04 Sales Manager Waddell and Reed/tacoma Yakima, WA

compliance practices in accordance with FINRA and corporate supervisory procedures. Support corporate initiatives as defined by company management. If you are interested in... READ

Aug 03 Examination Manager Finra Denver, CO

firm records, information available from FINRA systems, and other appropriate ... and communicates effectively with other FINRA personnel. Provides member firms,... READ

Aug 03 Regulatory Coordinator Financial Industry Regulatory Authority New York, NY

Provide FINRA management with current firm information and assist FINRA management in reso ... to the FINRA career site, please type www.finra.org/careers in your browser to reach... READ

Aug 03 Regulatory Reporting Project Professional Resources Global Professionals Hartford, CT

working with external regulators: SEC, FINRA, NYMEX, Federal Reserve Bank * Experience assisting securities firm in filing to become a bank * Advanced Excel skills and an aptitude... READ

Aug 03 Regulatory Reporting Project Professional Resources Global Professionals New York, NY

working with external regulators: SEC, FINRA, NYMEX, Federal Reserve Bank * Experience assisting securities firm in filing to become a bank * Advanced Excel skills and an aptitude... READ