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by Bill Singer
 
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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: February 21, 2012

Bill Singer is pleased to announce that he has become a member of the law firm of Herskovits PLLC, where he will be reunited with his former law partner Robert Herskovits.  
Please visit the law firm's 
website for more information.  

Visit the BrokeAndBroker 

Featured Job Postings from the Web
Feb 20FFS Sales Support RepresentativeFarmers Insurance GroupAgoura, CA

emphasizing finance or economics preferred. FINRA Series 6, 63 and 26 required within 90-days of hire. Experience Requirements None Special Skills Requirements Developing... more

Feb 19VP Accounting - FINOPNew York, NY

Vice President of Accounting Prestigious International Financial Firm seeks a VP of ... Series 27 highly preferred Must have good working knowledge of Excel including...more

Feb 19Fixed Income Compliance OfficerBroker-dealerNew York, NY

including those promulgated by SEC, FINRA and state jurisdictions Conduct oversight of the account opening process Participate in design and development of surveillance of sales... more

Feb 19Regulatory Reporting Project ProfessionalResources Global ProfessionalsNew 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... more

Feb 19VP - External Wholesaler / Regional Marketing ManagerInvestment Advisory FirmLos Angeles, CA

or financial services experience Must have FINRA Series 7 & Series 6 Proven record and demonstrated sustainable achievements in a financial sales environment Excellent verbal and... more

Feb 17Pcg Operations LiaisonWells FargoCarbondale, IL

written and verbal communication skills. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more

Feb 17Technical WriterInvestor ForceConshohocken, PA

institutional investment performance reporting system. Familiarity with a variety of financial concepts, practices, and markets. A FINRA/NASD license (e.g., Series 6, 7, 63,... more

Feb 16Compliance AdvisorCommonwealth Financial NetworkSan Diego, CA

compliance or financial services experience FINRA Series 7 and 24 securities registrations FINRA Series 53, preferred, or able to obtain it within 3 months of employment... more

Feb 16Fraud Prevention Analyst - Commercial Card-ELG1JPMorgan ChaseElgin, IL

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 16Financial Advisor Associate - Westbury Post and MapleJPMorgan ChaseWestbury, NY

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 16Financial Advisor Associate - Old Country Road - Spanish SpeakingJPMorgan ChaseWestbury, NY

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 16Compliance Advisor - Branch AuditCommonwealth Financial NetworkSan Diego, CA

Branch office audit experience a plus FINRA Series 7 and 24 registrations, requiredFINRA Series 53 and 65 (or 66) securities registrations required within 90 days of hire Ability... more

Feb 16Investment Banking Project Manager (Associate or Vice President)America's Growth CapitalBoston, MA

MBA or JD from a top school are preferred. FINRA Series 79 license required prior to start. Applicants should also possess: Strong work ethic and passion for investment banking,... more

Feb 15Sr Financial Advisor Ubis (Riverside)Union BankRiverside, CA

experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal... more

Feb 15Vice PresidentCredit SuisseNew York, NY

Bachelor's degree plus 5 years experience & FINRA Series 7 & 63 licenses. Please forward your resume, including salary history to Credit Suisse, P.O. Box MT-67, 71 Fifth Ave, 5... more

Feb 15Life and Financial Sales Zone ManagerFarmers Insurance GroupChicago, IL

Requirements Four-year college degree with FINRA series 6 or 7, 63, 26 and. LUTCF, CLU, ChFC preferred. Experience Requirements Seven years with Farmers, including five years in a... more

Feb 15401k Sales Hunter - Major Accounts JobADPIndependence, OH

and close business. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment.Possess strong... more

Feb 15Exclusive Horace Mannn AgecnyHorace Mann CompaniesPennsylvania

through Horace Mann Investors, Inc., Member FINRA, 1 Horace Mann Plaza, Springfield, IL 62715 * 800-999-1030 Horace Mann is an Equal Opportunity Company Is the Horace Mann... more

Feb 14Regional Supervisory Officer - Investment Banking jobPnc Financial Services GroupAtlanta, GA

censure, suspension or expulsion from FINRA for failure to comply with regulations. ... Bachelor Degree, Business or Finance FINRA Series 7 and 66 or (63 & 65) licenses ,...more

Feb 14DEVELOPMENT MANAGERNew York LifeNew York, NY

- Valid state life and health licenses- FINRA Registrations, Series 6, 63- FINRA Series 26 registration within 120 days- Good written and oral communication skills Desired...more

Feb 14National Sales Manager - Insurance JobAmeriprise FinancialMinneapolis, MN

of market conduct and sales practices.- FINRA registrations include a series 7, 63 or ... Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services... more

Feb 13Financial Advisor Associate - Yorktown HeightsJPMorgan ChaseYorktown Hts, NY

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... of JPMorgan Chase Bank, N.A.Qualifications FINRA Series 7 and 63 licensing required in... more

Feb 13Branch Financial AdvisorPNCCharleston, SC

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... more

Feb 13DirectorMFS Investment ManagementChicago, IL

d selling skills. Strong presentation skills and thorough product knowledge. Ability to meet extensive travel requirements. Position requires FINRA series 6 and 63 registrations... more

Feb 13Chase Private Client Private Client Advisor- San Francisco, CA (Lombard)JPMorgan ChaseSan Francisco, CA

requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You will ... in addition to meeting and exceeding FINRA continuing education requirements and... more


 
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Previous Entries
December 19, 2014
We start with a wife and her children. We add a husband. We toss into that scene a stockbroker. Then come the redemptions. All of which sets the stage... Read On
December 18, 2014
In a recent FINRA regulatory settlement, 18 registered folks sort of fell off their firm's compliance radar.  It's not a case involving eart... Read On
December 17, 2014
The road to Hell is paved with good intentions and a recent FINRA regulatory settlement involving a customer's email request for a wire transfer certa... Read On
December 16, 2014
A Personal Note From Bill Singer:It is with great sadness that I note the passing of my friend and veteran industry compliance professional Richard Be... Read On
December 15, 2014
If a public customer wants to place an idiotic order or insists on engaging in trading that seems destined to commit "economic suicide," what, if any,... Read On
December 13, 2014
Military Veterans Win $7.5 Million Employment Dispute Against Goldman SachsWhen BrokeAndBroker.com Blog's Bill Singer describes a FINRA Arbitration De... Read On
December 12, 2014
When BrokeAndBroker.com Blog's Bill Singer describes a FINRA Arbitration Decision as a "disgrace," you have to know that he's really worked up and ang... Read On
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