An irreverent Wall Street Blog
by Bill Singer
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Written: April 3, 2012


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Apr 02Personal Banker - Cupertino,CA (FINRALicenses Series 6,63, Life and Health Preferred)JPMorgan ChaseCalifornia

Personal Banker - Cupertino,CA (FINRA Licenses Series 6,63, Life and Health Preferred)-120015797 Job Description Play a vital role in the customer banking experience at Chase! As... more

Apr 02Compliance Analyst, Financial Brokerage Compliance Analyst with FINRA exp.Michael Wasserman & AssociatesCamarillo, CA

Premier brokerage firm offering general securities services to institutional and individual investors seeks an experienced Compliance Analyst with FINRA compliance experience. more

Mar 30FINRA Extern - Dispute Resolution, Mediation and Business StrategyFinancial Industry Regulatory AuthorityNew York, NY

Title: FINRA Extern - Dispute Resolution, Mediation and Business Strategy - New York, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is... more

Mar 30FINRA Extern - Dispute Resolution, Mediation and Business StrategyFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Extern - Dispute Resolution, Mediation, Business Strategy and Arbitration opening... more

Mar 29FINRA ATTORNEYResponse CompanyNew York, NY

Our client is seeking a FINRA attorney with 3-5 years of experience in FINRA compliance and broker-dealer regulations. This is an excitiing opportunity to join a company, already... more

Mar 27Associate Director - HR Relationship Management -FINRAStaffing AdvisorsRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Director - HR Relationship Management opening in Rockville, Maryland. more

Mar 20FINRA Legal Extern (Unpaid)Financial Industry Regulatory AuthorityBoca Raton, FL

Title: FINRA Legal Extern (Unpaid) - Boca Raton, FL Location: null Other Locations: null We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual... more

Mar 20FINRA Extern - Sales Practice, Member RegulationFinancial Industry Regulatory AuthorityJericho, NY

Title: FINRA Extern - Sales Practice, Member Regulation - Jericho, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking a well... more

Mar 20FINRA Investigative Extern (Unpaid)Financial Industry Regulatory AuthorityBoca Raton, FL

Title: FINRA Investigative Extern (Unpaid) - Boca Raton, FL Location: null Other Locations: null We Work to Protect Investors. Join our Team. We are seeking a well-qualified... more

Mar 16Financial Industry Regulatory Authority (FINRA)Binghamton UniversityNew York

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to... more

Mar 15FINRA Legal Extern (Unpaid)FinraAtlanta, GA

We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual for a Graduate Legal Externship in our Enforcement Department in Atlanta, GA. This position... more

Mar 13Firm Integration Consultant -FINRA 7 REQUIREDNfp - Insurance Services, Inc. - Austin, Tx OfficeAustin, TX

SUMMARY: Responsible for the successful transition of new financial advisors to NFP Advisory Services Group ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job... more

Mar 13FINRA Registered Representative & Front Desk CoordinatorAmerican Century InvestmentsMountain View, CA

Registered Representative/Front Desk CoordinatorSummary: The Registered Represetative/ Front Desk Coordinator is responsible for delivering a positive investor experience, which... more

Mar 09FINRA Investigative Extern (Unpaid)FinraBoca Raton, FL

We Work to Protect Investors. Join our Team. We are seeking a well-qualified individual for an Undergraduate Investigative Externship in our Enforcement Department in Boca Raton,... more

Mar 06Customer (Investment) Service Rep I or II - Wealth Mgmt - Sourcing Req - Broker Service Center - FINRASeries 7 Required - ChicagoJPMorgan ChaseChicago, IL

Chase Investment Services - Customer Service Representative I or II The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined... more

Mar 06Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San AntonioJPMorgan ChaseSan Antonio, TX

Customer Service Representative I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and... more


Previous Entries
January 30, 2015
Good intentions seem to have exploded in a banker / broker's  face, when he came to the aid of an elderly customer, who fell under the sway of a ... Read On
January 29, 2015
There are lots of bad guys out there, and on Wall Street, brokerage firms need to protect not only their customers but also themselves from some of th... Read On
January 28, 2015
Another day and another email disaster at another major FINRA member firm. In the end, however, the customer is made a whole -- but the registered per... Read On
January 27, 2015
Seems to me that Wall Street is quite a bit like weather forecasts. Take today, for example -- in NYC, we were supposed to awake to Snowmageddon with ... Read On
January 26, 2015
Imagine that you're broke and can't afford a fabulous but high-priced regulatory lawyer like me and you need to submit a brief in response to some abs... Read On
January 24, 2015
Chinese Pharma Private Securities TransactionsAs the economy recovers from the Great Recession, a number of regulatory violations that had been some... Read On Job Search

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