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by Bill Singer
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Written: February 28, 2012

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Feb 28Compliance OfficerMichael Page InternationalNew York, NY

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Feb 28Regulatory CounselMichael Page InternationalNew York, NY

law school Good knowledge of applicable FINRA, MSRB, NYSE, CFTC and other federal securities and banking laws, rules and regulations Excellent oral and written communication... more

Feb 27Broker Dealer PrincipalMetLifeSomerset, NJ

degree or equivalent business experience. FINRA Series 7 & 24 licenses required.FINRA Series 51 or Series 53 preferred, or must obtain within 90 days of hire date. 5+ years... more

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Feb 27Senior Fixed Income Analyst - Municipal Bonds JobAmeripriseBoston, MA

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Feb 26Exclusive Insurance Agent Business OpportunityKathy Ahern, East Zone Recruiter For Horace MannTorrington, CT

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Feb 24Enforcement InvestigatorFinraWashington, DC

to the FINRA Careers site, enter into your browser to reach ... and Affirmative Action Employer 2011 FINRA. All rights reserved. FINRA is a... more

Feb 24Manager - Pre-Appointment (Ameriprise Advisor Center) JobAmeripriseLas Vegas, NV

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manner; maintain records in accordance with FINRA, NYSE and other applicable regulations. ... experience as a registered principal. - FINRA Series 7, 24 licenses required. - FINRA... more

Feb 24Fixed Income Compliance OfficerNot DisclosedChicago, IL

blic Finance Activities and conduct reviews to test the adequacy and effectiveness of policies and procedures for compliance with SEC, FINRA and MSRB rules and regulations *... more

Feb 24Brokerage Operations Manager - Unionbanc Investment ServicesUnion BankLos Angeles, CA

and operational procedures, including FINRA supervisory tasks (Series 24). Ensure ... administrative and business operations FINRA Series 7, 63, 65 and 24 required,...more

Feb 24Operations Manager 3Wells FargoSt Louis, MO

the same or higher level. Preferred Skills FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more

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Feb 24Financial Advisor - New Advisor Program JobAmeripriseBrownstown Township, MI

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Feb 24Client Services Trading Desk Representative - Brokerage Services - (Los Angeles)Union BankLos Angeles, CA

Requires FINRA licensed Series 7 / 63 in addition to two years brokerage experience and technical work related experience, such as typing skills, Word. College degree is...more

Feb 24Sr. Project ManagerMatlen Silver GroupScottsdale, AZ

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Feb 23Personal Banker - Los Altos, CA (FINRA Licenses Series 6,63, Life and Health Preferred)ChaseLos Altos, CA

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Feb 23Financial Consultant Partner Broker Beaumont, TX JobCapital OneBeaumont, TX

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Feb 23Compliance & Administrative AssociateBrokerage FirmNew York, NY

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Feb 22Financial Consultant II (Partner Broker) Garden City-Salisbury, NY JobCapital OneGarden City, NY

including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more

Feb 22Agency Controls CoordinatorMetLifeRochester, NY

policies and procedures and all relevant FINRA, SEC, and State rules, laws and ... sales material correspondence. - Maintain FINRA books and records for the agency. -... more

Feb 22401(k) Sales Hunter!! (B2B)WilsonhcgColumbus, OH

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Previous Entries
September 17, 2014
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or de... Read On
September 17, 2014
Ah yes, here we go again with another one of Bill Singer's infamous "Yes but . . ." columns. We start off with a somewhat oddball fact pattern in whic... Read On
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September 15, 2014
Sometime in February 2014, Jeffrey S. Conover sent a written complaint to the Financial Industry Regulatory Authority (“FINRA”) in which he asserted t... Read On
September 13, 2014
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September 12, 2014
Some fights are quick. A quick upper-cut in the first round and, wham, the loser is on the canvass being counted out. Other fights are knock-down-drag... Read On
September 11, 2014
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or de... Read On
September 11, 2014
This is an update of "In Vino No Veritas Says Kurniawan Jury" (, December 20, 2013).Before I became a lawyer, I was the third genera... Read On
September 10, 2014
Anti-Money Laundering or AML is a hot button issue for Wall Street's compliance professionals. Given the world of terrorism and organized crime that w... Read On Job Search
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