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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: February 25, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

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Feb 25Senior Paralegal, Office of General CounselFinraWashington, DC

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

Feb 25Enforcement InvestigatorFinraNew 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 22Examination Manager - Sales Practice, Member RegulationFinraPhiladelphia, 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 22Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth MgmtCORESTAFF ServicesSan 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 21Regulatory Analyst - Chicago Equities SurveillanceFinraChicago, 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 20Sr. 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

Feb 18Regulatory Coordinator - Sales Practice, Member RegulationFinraNew York, NY

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

Feb 18Manager II/Assistant Director - Market Regulation, Member TradingFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Manager II/Assistant Director opening in New York, NY. To be considered for this... more

Feb 18Regulatory Analyst - Market Regulation, Fixed IncomeFinraRockville, 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

Feb 18Analyst, Shared Services - Fixed IncomeFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst, Shared Service - Fixed Income opening in Washington, DC. To be... more

Feb 18Compliance Examiner - Sales PracticeFinraNew York, NY

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

Feb 18Financial Operations ExaminerFinraNew York, NY

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

Feb 18Senior Specialist - Business Analyst- Market RegulationFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Specialist - Market Regulation opening in Rockville, MD. To be considered... more

Feb 11Regulatory Coordinator, Member RegulationFinraChicago, 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 11Chase Private Client Banker - Broadway E. - Seattle, WA (FINRALicenses Preferred - 6, 63, CA Life &ChaseSeattle, 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 11Regulatory Analyst - Market Regulation, Options RegulationFinraNew 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 22Stockbroker Trainee - Training providedFinancial Services FirmNew York, NY

We are looking for driven individuals who have an interest in pursuing a career in Financial Services. We are one of the fastest growing firms on Wall Street and are in the... more

Feb 22Stockbroker TraineeFinancial Services FirmNew York, NY

We are looking for driven individuals who have an interest in pursuing a career in Financial Services. We are one of the fastest growing firms on Wall Street and are in the... more

Feb 12Stockbrokers/Capital RaisingPacific Pearl GroupWest Palm Beach, FL

Title: Stockbrokers/Financial Advisers/Capital Raising w Series 7/63/Trainee Location: Downtown West Palm Beach, FL Fast Growing Boutique FINRA Brokerage Firm is expanding and... more

Feb 11Stockbrokers New IndustryEverest Merchant ServicesNew York, NY

EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that are looking to regain the financial... more

Feb 22SOURCERS / RECRUITERSAdeccoMountain View, CA

If you are an experienced Sourcer / Recruiter, we want to talk to you !!! If you have experience in technical sales or marketing or stockbrokers and accustomto making quotas,... more

Feb 20StockbrokerRecruitarrowBaltimore, MD

Job Responsibilities and Requirements: As an Financial Advisor, you will build a profitable business long term while enjoying the potential for greater career independence and... more

Feb 20Financial Sales Fronters wantedNeu Media StudiosPalm Beach, FL

We are a marketing firm representing a large company and we are looking for reps who can earn from $2,000 to $3,500 a week. We will pay draws weekly. Must be energetic and a go... more

Feb 16Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial AdvisorNociPalm Beach, FL

Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d... more

Feb 16Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth AdviserNociHartford, CT

Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d...more

Feb 13Entry Level StockbrokerGreenwich Point Wealth ManagementGreenwich, CT

Entry Level Stockbroker opportunity Considering a career in finance? We are currently hiring for our broker trainee program in the Greenwich, CT office. The Broker Trainee... more

Feb 12Stockbroker traineeAndrew GarrettNew York, NY

This position primarily focuses on equities along with other areas of finance such as Investment Banking, Wealth Management and Insurance products.]]> We are looking for hard... more

Feb 12Stockbrokers/Capital Raising/F.A.'sPacific Pearl GroupWest Palm Beach, FL

Title: Stockbrokers/Financial Advisers/Capital Raising w Series 7/63/Trainee Location: Downtown West Palm Beach, FL Fast Growing Boutique FINRA Brokerage Firm is expanding and... more

Feb 12TXU Energy - Business Sales Specialist - Ave 1st Yr $47 - 64kHireliveAustin, TX

Think of it as a career that is similar to a stockbroker. This is professional inside sales in a business to business environment. There are three phases to development: Phase 1... more

Feb 12Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We facilitate secure,... more

Feb 11Sales Representative - Sales Professional - InsuranceInsphere Insurance SolutionsManassas, VA

ortunity, business development, sales representatives, building business, pharmaceutical sales, financial advisor, financial consultant, stockbroker, advertising sales,... more

Feb 11Service CenterStockbroker - Financial ServicesWeb Recruiter Staffing DivisionNorth Las Vegas, NV

is seeking a full-time Service Center Stockbroker for the North Las Vegas, NV area. Web Recruiter seeks someone who can perform the following primary roles and responsibilities:... more


 
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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
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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
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