An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 5, 2013

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


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Nov 04Entry 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

Nov 03Wealth Management Trainee - ManhattanGlobal Arena CapitalNew York, NY

seeks qualified candidate for a full time Stockbroker Trainee Position. Full training and sponsorship for Series 7 & 63 exams. You will have... more

Nov 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 31Service 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

Oct 31Branch Manager - Frisco, TX JobScottradeFrisco, 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 28Admin SpecialistRoseitSt 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 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 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 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 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

Nov 04Stockbrokers - 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

Nov 02StockbrokerPendulum 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

Nov 01Financial 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

Oct 24Analyst 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

Oct 24Compliance Examiner - Member Regulation, Sales PracticeFinraPhiladelphia, PA

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

Oct 22Analyst, Advertising RegulationFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified candidates for future Advertising Analyst openings in Rockville, MD . To be considered, please submit... more

Nov 04Investment 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

Nov 04Stockbrokers - 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

Nov 04HR Senior Specialist, HR Relationship ManagementFinraChicago, IL

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

Nov 04Business Analyst,Sr.Specialist - Market RegulationFinraNew York, NY

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

Nov 03FINRA 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

Nov 02StockbrokerPendulum 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

Nov 01Manager - Market Regulation, Customer IssuesFinraRockville, MD

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

Oct 31HR Associate, HR Relationship ManagementFinraNew York, NY

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

Oct 31Regulatory Coordinator, Member Regulation, ROORFinraNew 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

Oct 29Regulatory 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

Oct 29Administrative 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

Oct 29Regulatory Analyst - Market Regulation, Options 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

Oct 25Compliance Trainer - Rockville, MD or New York, NYFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for future Compliance Trainer openings in Rockville, MD or New York, NY . To be considered... 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 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 24Office Manager I - TechnologyFinraRockville, MD

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

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