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: September 24, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

Visit the BrokeAndBroker 


ostedJob 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 17Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeNew Jersey

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

Sep 12Financial Advisor AAA PA Life/Health, FINRA - DIRECT HIREVolt 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 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

Sep 24Branch Officer Examiner - Broker - Dealer FINRAMemberRosenthal RecruitingNew York, NY

Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, SRO Rule and... more

Sep 22Branch Office ExaminerBroker - DealerFinra MemberNew York, NY

Responsibilities include: *Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, SRO... more

Sep 21Personal Banker - West Hills, CA (FINRA 6/63 CA Insurance Licenses Preferred)JPMorgan ChaseCalifornia

Personal Banker - West Hills, CA (FINRA 6/63 CA Insurance Licenses Preferred)-120054742 Job Description Play a vital role in the customer banking experience at Chase! As part of... more

Sep 21Independent Financial AdvisorPlace Trade Financial, Inc. (member Finra, Sipc)North Carolina

Whether you are breaking out on your own or you wish to join a nationally recognized team we would like to hear from you! Place Trade Financial, Inc. (Member FINRA, SIPC, and a... more

Sep 21FINRA Arbitration attorneyLa Jolla, CA

Non-profit safety organization, with stipulated donation to regain losses to donor due to E Trade fraud, seeks an attorney. Case has been filed, and is in progress, and in process... more

Sep 19Personal Banker - West Los Angeles, CA (FINRASeries 6/63 & CA Insurance Licenses Preferred)ChaseWest Los Angeles, CA

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

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 11Financial Advisor PA Life/Health, FINRAVolt 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... 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 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

Sep 24Stock Broker TraineeHfp Capital MarketsNew York, NY

seeking qualified candidate for full time Stockbroker Trainee Position. Full ... sales training to become a Fully Licensed Stockbroker. We will provide: All necessary...more

Sep 24Copy of Copy of Stock Broker TraineeHfp Capital MarketsNew York, NY

seeking qualified candidate for full time Stockbroker Trainee Position. Full ... sales training to become a Fully Licensed Stockbroker. We will provide: All necessary...more

Sep 21Stock Broker / Financial AdvisorVfinance InvestmentsMiami, FL

Description: We are currently recruiting Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong work... more

Sep 15StockbrokerEdward JonesVallejo, CA

Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more

Sep 14Sr. Investor Relations AnalystContinental ResourcesOklahoma City, OK

Job Title: Sr. Investor Relations Analyst Department: Investor Relations SUMMARY This is a key senior analyst role making strategic contributions to the development and execution... more

Sep 12Stockbroker Trainee PositionNew York, NY

seeking qualified candidate for full time Stockbroker Trainee Position. Full sponsorship for Series 7 & 63 exams. You will be working alongside seasoned industry veterans. more

Sep 07Branch StockbrokerTraineeSilverdale, WA

is to work towards a promotion to Branch Stockbroker. The Trainee operates as a team member to support clients and brokers. All duties and responsibilities are performed while... more


 
[^top^]

Previous Entries
February 28, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And JudgmentsIf you were lucky to dodge a regulatory bullet, don't count on your def... Read On
February 27, 2015
If you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time.  In a recent FINRA regulatory se... Read On
February 26, 2015
Sometimes a cigar is a cigar. Sometimes a fish is a fish -- or a grouper. Sometimes, however, federal prosecutors would have you believe that a fish i... Read On
February 25, 2015
In some ways, this disaster started out admirably with a registered representative father trying to find a way to leave his book of business for his... Read On
February 24, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
February 23, 2015
The hotly contested, high-profile Wall Street employment lawsuit of Wile v. FINRA found the industry's self-regulatory organization defending against ... 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 Counterclaim 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 PCAOB 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 Commission 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 Countrywide Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC 1099 Smith Barney Lehman Brothers SIPC IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Department of Justice Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Thain 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 Eligibility RRBDlaw Appeal Fowler LPL Johnson Cellphone US Airways JPM 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 Rule 3050 Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon CGMI 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 Expense Reimbursement FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker RIA Prison Disclosure NASAA Aguilar FCPA Subway Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank Hospital Due Process God HSBC Private Placements Eric Stein Wire Fraud FINOP CCO Audit Joshua Brown Backstage Wall Street Obstruction of Justice Reuters Retaliation Variable Annuity Arbitraiton Outside Account Options Telephone Wine Series 7 Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA Disability MetLife Continuing Education Cheating OIP Tax Liens Willful CE Unregistered Impersonation Annuities BBVA Business Expenses ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Impersonator Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks RMBS AML PST Solicited Unsolicited Congress SRO Wife Discretion Non-Solicitation Restaurant Commodities Private Securities Transaction Offer of Settlement Money Market employment jobs Great Recession Chase Investment Services Arrest Barclays Liens Failure To Supervise Apple Time And Price T&P Willfully Husband Letter of Authorization LOA Sexism Debit Card Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Laser Side Bar Mattera Female Sales Assistant Kennedy Charge Sexist NML Argentina Embezzlement Silver Investor Alert Judgment Bank Fraud Deceased Bill Singer BrokeAndBroker TSSB OHO Mary Jo White Trustee Motion To Dismiss Frumento Conspiracy 6th Circuit Proctor Rule 3040 Class Action Beneficiary NYAG Schneiderman 11th Circuit Insurance Gallagher White Self Regulation Short Sale Compromise Website TRO Supervision Vacatur SDNY Rule 12206 BrokeAndBroker Bill Singer Piwowar Stifel Rule 1122 Article V signature Confidential Inside Information Reg SP VA Regulation SP Customer Rule 3270 Rule 3240 Annual Compliance Questionnaire OWB 2Cir Stockbrokers Cybercrime Loans Altered Records
 
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+