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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: September 17, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

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PostedJob TitleCompanyLocation
Aug 29Chief Compliance OfficerTaurus Capital FundingMaitland, FL

Position Description: This position is for Registered Principal and Chief Compliance Officer of a small Broker-Dealer firm, exclusively involved in Real Estate Securities (limited... more

Sep 12Financial Advisor a PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesJohnstown, PA

Financial Advisor - DIRECT HIRE - Johnstown, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct Hire... more

Sep 12Enterprise Architect - New York, NY orFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enterprise Architect opening in New York, NY or Rockville, MD. To be considered... more

Sep 11Regulatory Analyst - Market Regulation, Trading Practices - RockFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more

Sep 11Team Leader - Market Regulation, Trading Analysis - Rockville, MFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Team Leader opening in Rockville, MD . To be considered for this position, please... more

Sep 07Director, Corporate RecordsFinra - Financial Industry Regulatory AuthorityRockville, MD

We Work to Protect Investors Join our Team FINRA is seeking a wellqualified individual for our Director Corporate Records opening in Rockville MD To be considered for this... more

Aug 30Senior Risk Specialist, Office of Risk - New York, NY or WashingFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Risk Specialist opening in our New York, NY or Washington, DC office. To... more

Aug 30Enforcement Investigator, Case Development Team (PART-TIME) - RoFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Investigator, Case Development Team (PART-TIME) opening in Rockville, MD . To be... more

Aug 30Principal Counsel - Membership Application Program - New York, NFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Principal Counsel opening in New York, NY . To be considered for this position,... more

Aug 30Regulatory Analyst - Market Regulation, Floor Surveillance - NewFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in New York, NY . To be considered for this position,... more

Sep 17Personal Banker - 17th Street, Costa Mesa, CA:FINRA Series 6/63 & CA Insurance Licenses PreferredJPMorgan ChaseCalifornia

Personal Banker - 17th Street, Costa Mesa, CA: FINRA Series 6/63 & CA Insurance Licenses Preferred-120062739 Job Description Play a vital role in the customer banking experience... more

Sep 12FINRA Legal Extern (unpaid)FinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Externship - Dispute Resolution in Chicago, IL. To be considered for this... more

Sep 11Financial Advisor PA Life/Health, FINRAVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more

Sep 11Financial Advisor - PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesJohnstown, PA

Financial Advisor - PA Life/Health, FINRA - DIRECT HIRE Posted on:09/11/12 Job Number: 300282-9766-1-308722 Add to Cart Email to a Friend Location: Johnstown, PA Description:... more

Sep 07OUTBOUND TELESALES (FINRA Series 6 Lic./$40K Salary + Bonus)Mutual of AmericaBoca Raton, FL

If you are looking for a reputable, stable financial services company to start your career with, this is a great, entry-level opportunity for a FINRA Series 6 or Series 7 licensed... more

Sep 06Temporary FINRA/Broker Dealer Litigation AttorneyPetersan Legal TempsNew York, NY

Collegial midtown firm seeks an mid to senior level litigation attorney on a long term temporary basis. Significant experience with FINRA arbitrations and related matters required... more

Aug 28FINRA Extern (unpaid) Winter/Spring 2013 - Sales Practice - Member RegulationFinraChicago, IL

We Work to Protect Investors. Join our Team. 2013 Spring Extern Program The Department of Member Regulation - Sales Practice in Chicago invites interested students majoring in... more

Aug 28FINRA Extern (unpaid) Winter/Spring 2013 - Sales Practice - Member RegulationFinancial Industry Regulatory AuthorityChicago, IL

Title: FINRA Extern (unpaid) Winter/Spring 2013 - Sales Practice - Member Regulation - Chicago, IL Location: null Other Locations: null We Work to Protect Investors. Join our... more

Aug 28Personal Banker - 55 Water Street - Manhattan -FINRA Licenses a PlusJPMorgan ChaseNew York, NY

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,200 locations where our... 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
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