An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

July 30, 2013

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

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Jul 29Stockbroker TraineesNew York, NY

Stockbroker TraineesEstablished broker-dealer welcoming trainees! Get your Series 7 license working alongside seasoned producers.- Located New York, NY - Exciting work environment... more

Jul 27Equity Research Associate - Life Science...MacquarieNew York, NY

Job Description Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. At Macquarie we offer you the experience and... more

Jul 27FINRA 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 24Registered Representative with Sales ExperienceNetwork PlacementsNew York, NY

nancial Rep, Sales, Selling We are looking for people with Sales experience who want to create a career as a registered representative, stockbroker, selling retail...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 08Stock Broker Trainee- Free Series 7 and 63 SponsorshipNew 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. more

Jul 27Stockbrokers - 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 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 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 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

applications for a limited number of stockbroker trainee positions. Whether ... Services Industry! As a Commerce One Stockbroker you can run your business,...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 29Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - ChicagoJPMorgan ChaseIllinois

Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-130058501 Job Description Chase is a leader in the financial services... more

Jul 27FINRA 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 23Customer Service Representative - FINRASeries 6Kforce Finance & AccountingBloomfield, CT

Our client is seeking a Customer Service Representative in Bloomfield, Connecticut (CT). Responsibilities: * Must be excited about working in a fast-paced, high-energy call center... more

Jul 17Surveillance Analyst (Excel & FINRA Series 7 required)AIGAtlanta, GA

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

Jul 02Licensed Sales Assistant (FINRA Series 7 & 63)MK PersonnelHouston, TX

Fabulous offices in a fast-paced, learning-oriented environment. You will assist several brokers by coordinating and managing their daily activities... You must be able a highly... more

Jul 27Surveillance 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 25Surveillance 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 24Customer Service Representative - FINRASeries 6Kforce Finance and AccountingBloomfield, CT

Responsibilities: Our client is seeking a Customer Service Representative in Bloomfield, Connecticut (CT). Responsibilities: Must be excited about working in a fast-paced,... more

Jul 23FINRA 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 23Compliance Examiner - Member Regulation, Sales Practice - New York, NY( Job Number: 002513)FinraNew York, NY

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 integrity of the... more

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 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 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 17Executive Vice President, Sales PracticeFinraRockville, MD

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 17Executive Vice President, Risk Oversight and Operational Regulation (RFinraRockville, MD

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 16Executive Vice President - Member Regulation, Sales Practice - New York, NY( Job Number: 002617)FinraNew York, NY

FINRA is seeking a well-qualified individual for our Executive Vice President, Member Regulation Sales Practice opening in New York, NY. To be considered for this position, please... more

Jul 16Executive Vice President - Member Regulation, ROOR, New York, NY( Job Number: 002616)FinraNew York, NY

The Executive Vice President provides strategic leadership and tactical oversight of the regulatory programs and activities that Risk Oversight and Operational Regulation (ROOR)... more

Jul 12Investment 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 10Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseIllinois

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

Jul 09FINRA Compliance OfficerSicor SecuritiesDayton, OH

Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of this broker-dealer firm and assist with... more

Jul 04FINRA Specialist Job ID: 20130207ScottradeSt Louis, MO

FINRA Specialist Job ID: 20130207-7503 Description: The main purpose of this position is to process associate data changes related to licensing and FINRA and to administer the... more

Jul 03FINRA Specialist JobScottradeSt Louis, MO

Job ID: 20130207-7503 Description: The main purpose of this position is to process associate data changes related to licensing and FINRA and to administer the FINRA registration... more

Jun 07Brokerage Service Associate with FINRASeries 06 or 07 ExperienceStaffmarkDallas, TX

Customer Service Excellence AND FINRA Series 06/07 experience for this TEMP-to-HIRE position in the Dallas area. Must have a working knowledge of mututal funds, quity and fixed... more


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

Veteran industry employment lawyer Jeffrey Liddle and Bill Singer, review the developing employment trends on Wall Street. Frank talk about bonuses, compensation packages, and severance.

NEW EPISODE OF 
SIDE BAR WITH BILL SINGER 
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