Jan 17 | Chief Compliance Officer | T Capital Funding | Maitland, FL |
This position is for Registered Principal and Chief Compliance Officer of a small Broker-Dealer firm, exclusively involved in Real Estate Securities (limited partner interests). more |
Feb 02 | Chase Private Client Banker - Broadway E. - (FINRA Licenses Preferred | Chase | Seattle, WA |
The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more | |||
Jan 30 | Relationship Banker - Crown Valley - (FINRALicenses Preferred | Chase | Ladera Ranch, 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 5,600 locations where our... more | |||
Jan 25 | Advisor Services Relationship Manager - Series 6 FINRA License | Volt Workforce Solutions | Phoenix, AZ |
Advisor Services Relationship Manager - Financial Services Industry Series 6 Securities (FINRA) License Required Our Client, a Financial Services firm in Phoenix, AZ, is seeking... more | |||
Jan 22 | Compliance Examiner - Member Regulation | Finra | Francisco, IN |
Job Summary : Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the... more | |||
Jan 20 | Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required) | MetLife | New 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 | |||
Jan 11 | Relationship Banker - Irvine & 17th,: FINRALicenses Required - 6, 63, Life & Health | Chase | Newport Beach, 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 5,600 locations where our... more | |||
Jan 11 | Relationship Banker - Narcissus & PCH, Corona Del Mar (): FINRA Licenses Required 6, 63, Life & Health | Chase | Corona Del Mar, 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 5,600 locations where our... more | |||
Jan 07 | Compliance Examiner - Membership Application Program | Finra | New York, NY |
Job Summary: MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or... more | |||
Jan 05 | Relationship Banker - PCH & Crenshaw,: Licenses Preferred - FINRA 6, 63, Life & Health | Chase | Torrance, 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 5,600 locations where our... more | |||
Jan 05 | Securites Trader, Operations, FINRA Series 7 and 63 | Lincoln Investment Planning | Cincinnati, OH |
1. Processes work assigned through the firms imaging and workflow system to ensure quality and timeliness standards are met. Detailed responsibilities include but are not limited... more |
Feb 05 | Legal Graduate Intern - Enforcement | Finra | Boca Raton, FL |
We Work to Protect Investors. Join our Team. 2013 Summer Internship Program FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in... more | |||
Feb 05 | Graduate/Undergraduate Intern - Financial Reporting | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. 2013 Summer Internship Program FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the... more | |||
Feb 04 | Relationship Banker - La Paz and Cabot - Laguna Hills, CA (FINRA Licenses Preferred - 6, 63, CA Life | Chase | Laguna Hills, 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 5,600 locations where our... more | |||
Feb 04 | Relationship Banker - Campus Dr, Irvine-CA (FINRA Licenses Preferred - 6, 63, CA Life & Health) | Chase | Irvine, 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 5,600 locations where our... more | |||
Jan 28 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - Chicago | JPMorgan Chase | Illinois |
Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-120079184 Job Description Chase is a leader in the financial services... more | |||
Jan 13 | FINRA Arbitration attorney | La 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 | |||
Jan 02 | Branch Office Examiner - Broker-Dealer | Leading U.S. BasedFinra Broker-dealer | New York, NY |
Responsibilities include: -Review Branch Office records, completing questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures,... more | |||
Dec 08 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt | JPMorgan Chase | San Antonio, TX |
Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out... more | |||
Dec 06 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required | JPMorgan Chase | Chicago, IL |
Title: Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL Location: US-IL-Chicago-300 South Riverside / 10574 Job Number: 120079184... more |
So . . . the other day, April 9, 2021, I came across another one of FINRA's urgent, all-important, uber-critical Regulatory Notices. This one was numb... Read On
On April 12, 2021, the New York Stock Exchange ("NYSE") announced that it would be minting its first Non-Fungible Tokens ("NFTs") in order to memorial... Read On
If you file a securities fraud claim under Section 10(b) of the Securities Exchange Act of 1934, a basic element of your proof must be to show th... Read On
Customer Complaints and Away Settlements -- Matters of Interpretation? (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5788/finra-complaint-set... Read On
A lot of what passes for misconduct on Wall Street is a matter of interpretation. You say that you did or didn't do something. Your firm's compliance ... Read On
Yet again, I say. Yet again. Wall Street's lackluster regulatory scheme fails to proactively detect an oncoming tsunami, and the markets get flooded. ... Read On