An irreverent Wall Street Blog
by Bill Singer
 
Join BrokeAndBroker blog on Facebook  Follow the BrokeAndBroker blog on Twitter  Connect with BrokeAndBroker on LinkedIn  Join Bill Singer on Google+  Subscribe to RSS Feed

EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: February 28, 2012

Visit the BrokeAndBroker 

Featured Job Postings from the Web
Feb 28Compliance OfficerMichael Page InternationalNew York, NY

Experience with a securities regulator (FINRA, SEC) Series 7 registration a plus. What's on offer 35-40 hourly Michael Page Contact For further info, apply or phone on +1... more

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

Feb 27Major Accounts Sales Representative -Retirement Services JobADPChicago, IL

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 27Director, Asst General Counsel - Consumer BanCaptial OneMclean, VA

banking and finance regulations, including FINRA and related regulations with respect to the sale of non-deposit investment products Preferred Requirements: - 6 - 10 years law... more

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

Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more

Feb 26FINRA AttorneyAccess StaffingNew York, NY

with securities regulator, particularly FINRA, would be a strong +. Experience with ... institutional markets. Thorough knowledge of FINRA rules applicable to introducing broker... more

Feb 26Senior Compliance Consultant (Policies & Training)MetLifeBoston, MA

departments, state securities divisions, FINRA, the SEC, and other regulatory bodies. ... experience. Bachelors degree required. FINRA Series 7 and 24 required or must be... more

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

clusive Agencies are not franchises. Horace Mann registered representatives offer securities through Horace Mann Investors, Inc., Member FINRA, 1 Horace Mann Plaza, Springfield,... more

Feb 24Enforcement InvestigatorFinraWashington, DC

to the FINRA Careers site, enter www.finra.org/careers 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

to multi-task. Preferred Qualifications - FINRA Series 66 and State Insurance License. ... Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services... more

Feb 24Field Registered Principal JobAmeripriseLas Vegas, NV

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

Feb 24Operations Manager 2Wells FargoSt Louis, MO

workflow processes. Preferred Skills FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful...more

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

Maintain all appropriate FINRA/other licenses and requirements up to date ... prioritization. - Ability to obtain required FINRA licenses within 90-120 day. JCODE:...more

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

development in a regulated environment (FINRA) Experience with GIPS performance reporting standards Familiar with portfolio analytics and modern portfolio theory Experience... more

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

you may have the opportunity to obtain your FINRA Series 6, 63, and Life Insurance licenses. Plus, many successful Personal Bankers develop skills to move into roles such as... more

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

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 23Compliance & Administrative AssociateBrokerage FirmNew York, NY

instruction Open examination windows on FINRA Handle Employees Personal Trading ... and General Counsel with regulatory filings (FINRA, NYSE, SPRU and FinOP Assist General... more

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

Business Development-DM Required licensing: FINRA Series 6 and 63 Our client is a global, ... industry data Required licensing: FINRA Series 6 and 63. This person must have strong... more


 
[^top^]

Previous Entries
April 22, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#brokeandbroker #billsinger #wallstreetjobs&n... Read On
April 21, 2014
I fully appreciate that FINRA has a legitimate concern about industry personnel impersonating customers. I also understand why it is appropriate in th... Read On
April 19, 2014
Will This Tax Season Lien On You?April 18, 2014We just made it through another tax season. The good news is that you filed and are fully paid up -- or... Read On
April 18, 2014
We just made it through another tax season. The good news is that you filed and are fully paid up -- or, the bad news is that you didn't file or you h... Read On
April 17, 2014
In this digital age there are still folks who physically cut-and-paste. How quaint. Of course, quaint or not, when you start using the terms "cut-and-... Read On
April 16, 2014
Here's an interesting cocktail of facts: an IRA, a mother, powers of attorney, and a stockbroker son. Add into that mix questions about whether a $60,... Read On
BrokeAndBroker.com Job Search
Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Chepucavage Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Brokeandbroker.com Morgan Keegan Arbitration BrokeAndBroker.com Khuzami BrokeAndBroker Aleynikov Goldman Sachs brokeandbroker Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC RRBDLAW.com Ponzi Affinity Fraud Wachovia Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Galleon Penson U5 Defamation Protocol Wells Fargo Punitive Damages Citigroup Merrill Lynch ARS Employee Forgivable Loan Street Legal Morgan Stanley AWC Fidelity Bankruptcy Broke And Broker HFT David Sobel Day Trading Ameriprise Commissions Spouse Schwab CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Selling Away Outside Business Activities Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax RRBDlaw.com Email Netschi Moore Whistleblower Street Sweeper Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC 1099 Smith Barney Lehman Brothers IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Form U5 Indictment Boyland DOJ Corruption bill singer FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 RRBDlaw Appeal Fowler LPL Johnson US Airways Reg D MSSB Vault Loan SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination Bank Guarantee WaMu Solicitation REIT Martin Credit Cards Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon Merrill Anderson Exam Lee Borrowing Tax Lien Conversion Oppenheimer Wedbush Felony Misdemeanor Expenses ING Lien OTR Estate Jobs Florida Credit Card Elderly Flash Drive Annuity FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker Prison NASAA Aguilar FCPA Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank God HSBC Private Placements Eric Stein Wire Fraud CCO Joshua Brown Backstage Wall Street Obstruction of Justice Retaliation Variable Annuity Outside Account Options Telephone Wine Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA MetLife Continuing Education Impersonation Annuities BBVA Business Expenses OIP ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks PST Solicited Unsolicited Congress SRO Wife Discretion Non-Solicitation Restaurant Commodities Private Securities Transaction Offer of Settlement employment jobs Great Recession Chase Investment Services Barclays Willful Apple Time And Price T&P Husband Letter of Authorization LOA Sexism Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Laser Side Bar Mattera Female Sales Assistant Kennedy Sexist Argentina Judgment Bank Fraud TSSB Trustee Frumento 6th Circuit Proctor Beneficiary NYAG Schneiderman Gallagher White Compromise Website Supervision Piwowar Tax Liens signature VA
 
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+