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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: October 15, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

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Oct 07Stockbroker/Account ExecutiveDMG SecuritiesWashington, DC

Job Description: This sales position entails building and servicing clientele, keeping clients abreast of pertinent market information, maintaining an in-depth understanding of... more

Oct 07Stockbroker TraineeCommerce One FinancialUniondale, NY

applications for a limited number of stockbroker trainee positions. Whether consulting with their clients on how to best manage their funds or informing prospective clients on... more

Oct 04Stockbroker TraineeNew HorizonsNew York, NY

We are looking for hard working, driven individuals who have a passion for Sales and Finance. This is an outstanding opportunity to work in the heart of the Financial District in... more


Oct 13Compliance Examiner, Member RegulationFinraAtlanta, GA

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Atlanta, GA . To be considered for this position,... more

Oct 12Manager III, Communications & Information Management - WashingtoFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Manager of Communications& Information Management opening in Washington, DC . To... more

Oct 12Senior 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

Oct 12Enforcement Counsel, Case Development Team (PART-TIME) - RockvilFinraRockville, MD

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

Oct 12Risk Analyst, Office of Risk - Washington, DC or New York, NYFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Risk Analyst openings in Washington, DC or New York, NY . To be considered for... more

Oct 12Governance Analyst, Office of the Corporate Secretary - WashingtFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Governance Analyst opening in Washington, DC . To be considered for this... more

Oct 12Regulatory Analyst - Market Regulation, Short Sales - Rockville,FinraRockville, 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

Oct 12ENFORCEMENT 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

Oct 12Advertising AnalystFinraRockville, MD

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

Oct 12Deputy Regional Chief Counsel - EnforcementFinraDallas, TX

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Deputy Regional Chief Counsel opening in Dallas, Texas . To be considered for... more

Oct 12Regulatory Analyst - Market Regulation, Special Reviews - New YoFinraNew 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

Oct 09FINRA Licensed Sales AssistantArjentNew York, NY

Job Description : FINRA Licensed Sales Assistant MUST HAVE SERIES 7 and 63 Licenses Position involves extensive client contact, individual will be involved in all activities that... more


 
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Previous Entries
Federal Court Sustains Failure To Supervise Penalty
December 5, 2013
In Matthew Collins v. Securities And Exchange Commission (United States Court of Appeals, Sixth Circuit, District of Columbia, 2-1241, November 26, 20... Read On
A Stockbroker's Health Club Proves Unhealthy
December 4, 2013
A registered representative embarks upon the operation of a health club with two partners. How could such a venture prove unhealthy to his financial s... Read On
EMPLOYMENT TUESDAY at BrokeAndBroker.com
December 3, 2013
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMStockbroker, Compliance, Legal, and Regulatory JobsVisit the BrokeAndBroker Employment Page BrokeAnd... Read On
Third Party Check In The Broker's Desk Drawer
December 2, 2013
Oh my, another third-party check snafu -- which likely explains why so many brokerage firms simply don't want to see, accept, handle, or process them.... Read On
SEC Commissioner Stein Says Fish Stink From Head Down
November 29, 2013
Today's BrokeAndBroker blog offers two companion pieces that I recommend you read in conjunction. Both articles present recent commentary fr... Read On
SEC Commissioner Piwowar Wags A Finger At Formal Investigations
November 29, 2013
Today's BrokeAndBroker blog offers two companion pieces that I recommend you read in conjunction. Both articles present recent commentary from Se... Read On
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Federal Court Sustains Failure To Supervise Penalty
December 5, 2013
In Matthew Collins v. Securities And Exchange Commission (United States Court of Appeals, Sixth Circuit, District of Columbia, 2-1241, November 26, 2013), we are presented with the appeal by Matthew J. Collins from a Securities And Exchange Commission ("SEC") finding that he had failed to supervise a subordinate, who violated various secu... Read On
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