EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 29, 2013

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


Visit the BrokeAndBroker 

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!

Oct 25Stockbrokers - 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

Oct 22Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth AdviserNociSan Francisco, CA

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

Oct 22Hedge 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

Oct 10Financial 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

Oct 08STOCKBROKER /STOCKBROKER TRAINEELong Island, KS

applications for a limited number of stockbroker trainee positions to build our financial force. We will provide sponsorship for your Series 7 and 63 licenses. Enrollment in our... more

Oct 03StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Oct 27Service CenterStockbroker (2-2927FL)Recruit GaapDoral, FL

is seeking a full-time Service Center Stockbroker for the Doral, FL area. Starting wage or salary up to $15 per Hour. Job Code: 2-2927FL. Environment described as: Successful and... more

Oct 26Branch ManagerScottradePortsmouth, NH

firm preferred and absolute proficiency as a stockbroker in all areas of the discount industry * Minimum 4 years customer service skills * Clean U4 securities record Scottrade,... more

Oct 24Associate Trust AdministratorDga GroupWilmington, DE

Act as a liaison between trust officer and stockbroker, attorney, accountant, and caregiver regarding specific trust issues Maintain efficient and positive working relationships... more

Oct 24Financial Planner 401(k) SpecialistIndependentTexarkana, TX

- 5 years experience as a Financial Planner, Stockbroker, Financial Consultant, Investment Advisor, Wealth Manager, Financial Advisor, etc. Ideal candidate will have bachelor's... more

Oct 22Entry level Stock BrokerGreenwich 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 Program... more

Oct 22Service CenterStockbroker (NC92927A)Research Recruiting AssociationAsheville, NC

is seeking a full time Service Center Stockbroker. The member company offers the following environment: Successful and thriving company. Unique Job Number: NC92927A. Estimated... more

Oct 21VP-Corporate FinanceInsperityHouston, TX

? EOE ? Keywords: broker, brokerage, stockbroker, financial, portfolio, accounting, finance, credit, loan, mortgage, securities, financial products, financial services VP;...more

Oct 20Service CenterStockbrokerRecruit Gaap StaffingSavannah, GA

Job Title: Service Center Stockbroker. Recruit GAAP Staffing is searching for a full time Service Center Stockbroker for a company located in Savannah, GA. Industry Environment:... more

Oct 19Financial AdvisorStockbrokerEdward JonesCalifornia

Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more

Oct 17Compliance ExecutiveCompliance Search InternationalEngland, AR

My client, a leading stockbroker with offices across the UK and abroad, has an exciting opportunity for a Compliance Executive to join their compliance team due to an internal... more

Oct 14Stockbroker InternshipNew York, NY

Find clients and grow relationships Stock, Mutual Funds, & ETFs Options Strategies Bonds & Fixed Investments Life Insurance & Variable Annuities Retirement Programs Individuals... more

Oct 08Stockbroker /Stockbroker TraineeBroker DealerGreat Neck, NY

applications for a limited number of stockbroker trainee positions to build our financial force. We will provide sponsorship for your Series 7 and 63 licenses. Enrollment in our... more

Oct 01Stock Broker / Stock Broker TraineeVfinance InvestmentsMiami, FL

recruiting for established Stock Brokers and Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong... more

Oct 26Compliance Examiner, TMMS Equities, Market RegulationFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner within our Market Regulation... more

Oct 26FINRA 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

Oct 25Financial Operations Examiner - Member Regulation, ROORFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York,... more

Oct 25Stockbrokers - 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

Oct 24FINRA 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

Oct 24FINRA (Unpaid) Extern - OFDMI - Central Review GroupFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) seeks a well-qualified Extern for the Fall semester. more

Oct 22Compliance Examiner - Member Regulation, Sales PracticeFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: 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... more

Oct 22Hedge 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

Oct 22FINRA 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

Oct 22Investment 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: 130090132... more

Oct 22Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth AdviserNociSan Francisco, CA

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

Oct 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

Oct 13Director - FINRA ComplianceLeading Financial Services FirmNew York, NY

Job Description The professional who fills this position will: Manage SEC registrations Build client relationships, lead a team of professional staff, identify and source new work... more

Oct 12Regulatory Analyst - Market Regulation, Member TradingFinraNew York, NY

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

Oct 12Regulatory Coordinator - Member Regulation, Sales PracticeFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: 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... more

Oct 10Financial 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

Oct 08STOCKBROKER /STOCKBROKER TRAINEELong Island, KS

We are seeking self motivated positive individuals to join our team, and currently accepting applications for a limited number of stockbroker trainee positions to build our... more

Oct 03StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Oct 03Enforcement InvestigatorFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Enforcement Investigator opening in New York, NY. more

Oct 03Compliance Examiner - Member Regulation, Membership Application ProgramFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership... more

Oct 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

Oct 25Admin SpecialistRose InternationalSt Louis, MO

Title: Investor Services ClerkLocation: St. Louis, MO Duration: The position is for a year to start, but beyond that the future is unknown, possible extensions.*Clerical...more

Oct 22Equity Research Associate - Telecom/Comm...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

Oct 22Equity Research Associate - UtilitiesMacquarieNew 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

Oct 22VP-Corporate Finance (753190)Houston, TX

person feels encouraged to contribute to our processes, decisions, planning and culture. EOE Keywords: broker, brokerage, stockbroker, financial, portfolio, accounting,... more

Oct 16Stock Broker & Stock Broker TraineeVfinance InvestmentsMiami, FL

Broker Trainee We are currently recruiting Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong... more

Oct 11Account Executive- Large Case Group & Voluntary BenefitsUnumLos Angeles, CA

Unum is a company of people serving people. As one of the world's leading employee benefits providers and a Fortune 500 company, Unum helps protect more than 25 million working... more

Oct 10Branch Manager - Sugar Land, TX JobScottradeSugar Land, TX

preferred and absolute proficiency as a stockbroker in all areas of the discount industry * Minimum 4 years customer service skills * Clean U4 securities record Scottrade, Inc.,... more

Oct 09AIS Field Support Manager - Position can be located anywhere in Associated's footprintAssociated Bank-corpGreen Bay, WI

Req/Preferred Series 7-Stockbroker Exam Required Other Series 63/65 or 66 Required Life & Health Insurance License Required Other Series 24 Preferred The above statements are... more

Oct 04Financial Adviser - Wealth ManagementING Financial PartnersPhiladelphia, PA

Inc. Key words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, Asset Management, Wealth Planner, Investment Sales, Registered Representative, Investment... more

Oct 04Account Executive- Large Case Group & Voluntary BenefitsLeading Insurance CompanyGlendale, CA

Unum is a company of people serving people. As one of the world's leading employee benefits providers and a Fortune 500 company, Unum helps protect more than 25 million working... more

Oct 03Account Executive- Large Case Group & Voluntary BenefitsUnum GroupGlendale, CA

Unum is a company of people serving people. As one of the world's leading employee benefits providers and a Fortune 500 company, Unum helps protect more than 25 million working... more

Oct 02Broker TraineeHfp Capital MarketsNew York, NY

seeks qualified candidate for a full time Stockbroker Trainee Position. Full training ... training to become a fully Licensed Stockbroker Qualifications: ∑ Excellent Verbal... more

Oct 01Equity Research Associate - Telecom/Communications EquipmentMacquarieNew York, NY

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