EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 1, 2013

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


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NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: 
stockbrokers, advisors, lawyers, regulators, compliance officers, and
back-office staff.
  
Click POST A JOB and your position will be promptly listed.  
Only $25 for 30 days!

Sep 30Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San AnJPMorgan ChaseSan Antonio, TX

Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808... more

Sep 30FINRA 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

Sep 29FINRA Extern (Unpaid) Member Regulation-Sales PracticeFinancial Industry Regulatory AuthorityWoodbridge, NJ

Title: FINRA Extern (Unpaid) Member Regulation-Sales Practice - Woodbridge, NJ Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking... more

Sep 29Stockbrokers - 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

Sep 28Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing ReqJPMorgan ChaseSan Antonio, TX

Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808... more

Sep 28FINRA 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

Sep 28Developer - Rockville, MD - Contractor ConversionFinraRockville, MD

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

Sep 27Operations Center Specialist - New York, NY - Contractor ConversionFinraNew York, NY

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

Sep 27Stockbroker TraineesPoughkeepsie, NY

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

Sep 27Administrative Assistant II - Market Regulation-LegalFinraRockville, MD

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

Sep 26Investment 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: 130081831... more

Sep 26Stockbroker TraineeCommerce One FinancialUniondale, NY

Job Description: What distinguishes highly successful people is their ability to capitalize on the right opportunity when it presents itself. The Financial Industry is growing and... more

Sep 25Stockbrokers / Financial AdvisorsSolution StaffingConshohocken, PA

*All communication is strictly confidential!!! Has your firm been affected by the recent financial turmoil? Would you like to join a firm that has limited their risk exposure and... more

Sep 24Auditor - FINRARobert Half Management ResourcesColumbus, OH

Classification: Auditor - Internal Compensation: $30.00 to $40.00 per hour Robert Half Management Resources has a client that is in search for an Auditor for a highly competitive... more

Sep 24Regulatory Analyst - Options, Market RegulationFinraSan Francisco, CA

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst opening in San Francisco, CA. To be considered for this... more

Sep 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

Sep 21Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial AdvisorNociPalm Beach, FL

Hedge 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

Sep 16FINRA Series 6 or 7 License / Call Center ProStaffmarkDallas, TX

Now Hiring: Call Center Professionals with Investment/Insurance Experience MUST HAVE FINRA Series 6 or 7 license TEMP to HIRE!!! Excellent Temp to Hire position in the Dallas area... more

Sep 15FINRA 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

Sep 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

Sep 05Stockbroker / 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

Sep 22Analyst III, Market Risk - Member Regulation, ROORFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: 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. more

Sep 22Sr. Continuing Education CoordinatorFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Continuing Education Coordinator opening in... more

Sep 20Lead SCM/Build Engineer - Rockville, MD - Contractor ConversionFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our lead Software Configuration Manager/Build Engineer opening in Rockville, MD . To... more

Sep 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

Sep 19Litigation Counsel, EnforcementFinraLos Angeles, CA

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Litigation Counsel opening in Los Angeles, CA . To be considered for this... more

Sep 19Intranet Program Manager, HR StrategyFinraRockville, MD

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

Sep 19Regulatory Analyst - Market Regulation, Fixed Income InvestigationsFinraRockville, 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

Sep 19PsychometricianFinraRockville, MD

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

Sep 18Regulatory Analyst - OFDMI/ Office of WhistleblowerFinraRockville, MD

We Work to Protect Investors. Join our Team. </center> FINRA is seeking well qualified individuals for our Regulatory Analyst position in the OFDMI-Office of the Whistleblower in... more

Sep 17Compliance Examiner - Member Regulation, Sales PracticeFinraDenver, CO

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

Sep 15Regulatory Analyst - OFDMI - Insider TradingFinraRockville, MD

We Work to Protect Investors. Join our Team. </center> FINRA is seeking a well qualified individual for our Regulatory Analyst - Insider Trading opening in Rockville, MD. To be... more

Sep 12Associate Director, Test SecurityFinraRockville, MD

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

Sep 11Director, Enforcement CenterFinraNew York, NY

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

Sep 11Compliance Examiner - TMMS Options, Market RegulationFinraNew 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

Sep 10Financial Operations Examiner - Member Regulation, ROORFinraNew 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

Sep 06Compliance Examiner-Member Regulation, Sales PracticeFinraBoston, MA

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

Sep 06Regulatory Coordinator - Member Regulation, Sales PracticeFinraBoston, MA

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

Sep 05Regulatory Analyst - OFDMI-FraudFinraRockville, MD

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

Sep 29Stockbrokers - 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

Sep 27Stockbroker TraineesPoughkeepsie, NY

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

Sep 26Stockbroker 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

Sep 25Stockbrokers / Financial AdvisorsSolution StaffingConshohocken, PA

*All communication is strictly confidential!!! Has your firm been affected by the recent financial turmoil? Would you like to join a firm that has limited their risk exposure and... more

Sep 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

Sep 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

Sep 05Stockbroker / 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

Sep 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