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 11 | Regulatory Coordinator, Member Regulation | Finra | Chicago, IL |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in our Chicago, IL office. To be considered for... more | |||
Feb 11 | Regulatory Analyst - Market Regulation, Options Regulation | Finra | New 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 | |||
Feb 11 | Chase Private Client Banker - Broadway E. - Seattle, WA (FINRALicenses Preferred - 6, 63, CA Life & | 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 | |||
Feb 10 | Chase Private Client Banker - Northeast 8th & 106th, - (FINRA Licenses Preferred | Chase | Bellevue, 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 | |||
Feb 10 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required | Chase | Chicago, IL |
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 | |||
Feb 07 | Regulatory Analyst - Chicago Equities Surveillance | Finra | Chicago, IL |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst opening in Chicago, IL. To be considered for this position,... more | |||
Feb 07 | Examination Manager - Sales Practice, Member Regulation | Finra | Philadelphia, PA |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Examination Manager opening in Philadelphia, PA. To be considered for this... more | |||
Feb 07 | Enforcement Investigator | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enforcement Investigator opening in New York, NY. To be considered for this... 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 |
Feb 08 | FINRA Series 55 Market Maker | Merriman Capital | San Francisco, CA |
The active market maker will make and mind markets for small and micro-cap securities related to the firms institutional and corporate client base. The market maker will be... more | |||
Feb 06 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt | JPMorgan Chase | San Antonio, TX |
Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808 Job Number:... more | |||
Feb 01 | Chase Private Client Banker - Broadway E. - Seattle, WA (FINRA L | 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 31 | 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 |
If there's one thing that's certain about the COVID-19 pandemic, it's that it has changed the way we work and interact with one another. From virtual ... Read On
Someone lost about $100 from a Bank of America drive-up ATM. Someone found it. That first finder wasn't a keeper. That first finder gave the $100 to a... Read On
We got a really, really busy day of news over at our companion publication the "Securities Industry Commentator." The content is free and fabulous. Wh... Read On
Recently, the SEC issued: "SEC Awards Almost $3 Million Total in Separate Whistleblower Awards" (SEC Release / February 19, 2021) https://www.sec... Read On
When I first starting working in-house at Smith Barney, Harris Upham & Company in 1982, folks in the biz thought that the industry's regulators we... Read On
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5702/insecurities-aegis-frumento-... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellInstant KarmaHere's a question I haven't heard in decades:&n... Read On