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by Bill Singer
 
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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: July 23, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
Stockbroker, Compliance, Legal, and Regulatory Jobs

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Jul 20Director - FINRAComplianceLeading Financial Services FirmManhattan, NY

Manage SEC registrations Build client relationships, lead a team of professional staff, identify and source new work and new product development Prepare and deliver SEC mock exam... more

Jul 20FINRA Legal Extern, Enforcement (UNPAID)Financial Industry Regulatory AuthorityJericho, NY

Title: FINRA Legal Extern, Enforcement (UNPAID) - Jericho, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified... more

Jul 20Economic Research AnalystFinraWashington, DC

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

Jul 20Senior Economist - Washington, DC or New York, NYFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Economist opening in Washington, DC or New York, NY . To be considered for... more

Jul 20Economist - Washington, DC or New York, NYFinraWashington, DC

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

Jul 20FINRA Fall 2013 Legal Extern (unpaid) - Member RegulationFinancial Industry Regulatory AuthorityLos Angeles, CA

Title: FINRA Fall 2013 Legal Extern (unpaid) - Member Regulation - Los Angeles, CA Location: null Other Locations: null The Financial Industry Regulatory Authority (FINRA) is... more

Jul 20Analyst III, Market Risk - Member Regulation, ROORFinraNew York, NY

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

Jul 19Lead Developer - Rockville, MD - Contractor ConversionFinraNew York, NY

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

Jul 19Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredJPMorgan ChaseChicago, 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: 130058501... more

Jul 19FINRA Extern (unpaid) - Member Regulation, Sales PracticeFinancial Industry Regulatory AuthorityKansas City, MO

Title: FINRA Extern (unpaid) - Member Regulation, Sales Practice - Kansas City, MO Location: null Other Locations: null FALL EXTERN - SALES PRACTICE The Financial Industry... more

Jul 18Executive Vice President, Risk Oversight and Operational Regulation (RFinraMaryland

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Executive Vice President, Risk Oversight and Operational Regulation (ROOR)... more

Jul 18FINRA licensed Client Service RepresentativeStaffmarkAddison, TX

Do you enjoy helping people make the best financial decisions? Do you have an FINRA 6 or 7 license? If so we are looking for YOU! more

Jul 18Executive Vice President, Sales PracticeFinraMaryland

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Executive Vice President, Sales Practice opening in New York, NY. To be... more

Jul 18Accounting Associate IIIFinraRockville, MD

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

Jul 18Compliance Examiner, Member RegulationFinraBoca Raton, FL

We Work to Protect Investors. Join our Team. FINRA is seekingwell-qualified individuals for future Compliance Examiner openings in Boca Raton, FL .To be considered forfuture... more

Jul 18FINRA Compliance OfficerSicor SecuritiesDayton, OH

Company Description: Job Description: Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of... more

Jul 18FINRA Extern - (unpaid) OmbudsmanFinancial Industry Regulatory AuthorityRockville, MD

Title: FINRA Extern - (unpaid) Ombudsman - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. The Financial Industry Regulatory... more

Jul 17Enforcement InvestigatorFinraRockville, MD

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

Jul 16Examination Manager, Sales PracticeFinraDenver, CO

We Work to Protect Investors.Join our Team. FINRA is seeking a well qualified individual for our Examination Manager opening in our Denver, CO,location.To be considered for this... more

Jul 16Executive Vice President - Member Regulation, Sales PracticeFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Executive Vice President, Member Regulation Sales Practice opening in New York,... more

Jul 16Executive Vice President - Member Regulation, ROORFinraNew York, NY

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

Jul 16Surveillance Analyst (Excel & FINRA Series 7 required)ChartisinsuranceAtlanta, GA

Position Description The Surveillance Analyst of the Advisor Group will be responsible for completing Field Advisor and product reviews. This position reports to the... more

Jul 16Surveillance Analyst (Excel and FINRA Series 7 required)American International GroupAtlanta, GA

Surveillance Analyst (Excel & FINRA Series 7 required) Job ID #: 87401 Employment Type: Full Time - Permanent Location: GA-Atlanta Education Preferred: Bachelors Degree (or... more

Jul 22Advisory Ops SpecialistMichael PageNew York, NY

Responsibilities: Respond to all proprietary advisory service issues. Handle processing through MAS Platform Ongoing interaction with IARs, ACOs, (Agency Compliance Officer),... more

Jul 21FINRA Legal Extern, Enforcement (UNPAID)FinraJericho, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Externship - Department of Enforcement in Jericho, NY. To be considered... more

Jul 21401k Presentation SpecialistING North America InsuranceCalifornia

Provides onsite education and motivational seminars on many financial themed topics to retirement plan participant and prospective retirement plan participants. Deliver onsite... more

Jul 20Compliance OfficerRecruitarrowMiami, FL

Job Responsibilities and Requirements: Responsibilities: Assist in developing and overseeing policies and procedures that ensure compliance with FINRA and SEC rules and... more

Jul 17Chief Operating OfficerRBS CitizensDedham, MA

The COO is responsible for leading business results of the brokerage division. Partners with leadership to manage division wide projects, involved in marketing and business... more

Jul 17Wealth ManagementRobert Half InternationalBoston, MA

National wealth management organization looking to expand into the Boston area. Looking for experienced financial advisors with books of business to run book as well as build up... more

Jul 16Human Resources ManagerNatick, MA

Robert Half Management Resources has a financial services client looking for a part time (three days per week) Human Resources Manager for 2-3 months. Responsibilities include... more

Jul 15Sales RepresentativeDavid LernerCrosswicks, NJ

Many of our clients have said Thank You to David Lerner Associates because our business philosophy of building and preserving investor's assets has worked for them. This... more

Jul 15Financial Advisor - Apple Federal Credit UnionCUSO Financial ServicesFairfax, VA

Title: Financial Advisor � Apple Federal Credit Union Position: Financial Advisor Full Time/Exempt Location: Fairfax City VA &nb Position Requirements : Minimum 3 years... more

Jul 15Central Supervision Principal (Annuities & Life Insurance)Bank of AmericaCharlotte, NC

This is a FINRA regulatory supervisory principal position with the Central Business Review Unit (CBRU). The CBRU assists with the regulatory oversight for the Advisory Division... more

Jul 14Licensed Branch Manager - National Brokerage FirmDm Stone Jobsinbrokerage.comSan Francisco, CA

National Brokerage firm is seeking an experienced non-producing Branch Manager. Typical base salary around $85K and additional $60-$80K of variable compensation potential... more

Jul 12Financial AdvisorNorthern TrustFlorida

Responsible for Venice, Sarasota and Manatee markets, providing integrated wealth management solutions with a focus on investments for clients and prospects. Researches and... more

Jul 10Account AdministratorGreat-WestSomerset, NJ

* Accurately and efficiently processes and performs data entry of customer transaction requests and assigned tasks. * Develops extensive job knowledge by applying written... more

Jul 01Associate - Investment ManagementGarrison & SissonWashington, DC

A global law firm with one of the largest Investment Management practices seeks an associate for its Washington, D.C., office. This associate should have 3-6 years of experience... more

Jul 21Hedge 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

Jul 21Stockbroker, 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

Jul 21Stockbroker / Account ExecutiveDMG SecuritiesWashington, DC

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

Jul 18Stockbroker TraineeMidtown Nyc Investment BankNew York, NY

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

Jul 10Stockbroker TraineeCommerce One FinancialUniondale, NY

Services Industry! As a Commerce One Stockbroker you can run your business, determine your compensation and redefine your future! For Immediate consideration, email your resume... more

Jul 09Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

Company Description: EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We... more

Jul 05Financial Advisor/StockbrokerMorgan WilshireGarden City, NY

Financial Advisor/Stockbroker Do you have your Series 7 and are looking for the right firm to call home?When you are only involved in one area of the market, what if it does not... more

Jul 19StockbrokerEdward 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

Jul 18Stock Broker Trainee Free Series 7 and 63 SponsorshipConfidential AmericaNew York, NY

seeking qualified candidate for a full time Stockbroker Trainee Position. Full sponsorship for Series 7 &63 Exams. You will work alongside seasoned veterans in the industry.Retail... more

Jul 15Manager, Investor RelationsSwift Energy CompanyHouston, TX

Manager, Investor Relations Swift Energy Company is committed to being a premier oil and gas company and top-tier performer by creating value through sustainable, efficient... more

Jul 02StockbrokerAndrew GarrettNew York, NY

We are looking for hard working, driven individuals who have an interest in pursuing a career, not a job. Previous sales experience in another industry such as real estate or car... more

For iPhone/Mobile view visit: http://www.youtube.com/watch?v=cj9ZsSLauBg

Securities industry lawyer Robert Herskovits and Bill Singer, Esq. discuss how to handle a Wall Street termination. Putting out the employment brush fire before it becomes a forest fire.

NEW EPISODE OF 
SIDE BAR WITH BILL SINGER 
NOW ONLINE

REUTERS.com

YouTube for iPhone / iPad Users
 http://www.youtube.com/watch?v=cj9ZsSLauBg


 
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