EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 19, 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.
  
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Only $25 for 30 days!

Nov 19Branch Manager - Novi, MI JobScottradeNovi, MI

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

Nov 17FINRA 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

Nov 15Claims Specialist - Insurance Agents and Securities Broker/Dealer Professional LiabilityContinental Casualty CompanyNew York, NY

and property & casualty insurance agents and stockbroker liability. These claims include litigated and non-litigated matters and can range to from small errors to million dollar... more

Nov 13Vice President of 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

Nov 13StockbrokerScottsdale Capital AdvisorsScottsdale, AZ

Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing, energetic, highly... more

Nov 05Equity Research Associate - ChemicalsMacquarieHouston, TX

EQUITY RESEARCH ASSOCIATE - CHEMICALS Job number: MSG-909237 Group: Macquarie Securities Group Division: Cash - Research Recruiter: Lacey Lane Work type: Full time Location:... 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

Nov 18Stockbrokers - 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 16Fianancial Advisor /StockbrokerSouthport Financial/raymondjamesConnecticut

We are an independent, full service investment firm located in Southport, CT looking for a Financial Advisor to join our team. We Offer : Vibrant, comfortable atmosphere where you... more

Nov 12DO YOU WANT TO BE ASTOCKBROKER? We offer series 7 and 63 sponsorship.Global Arena CapitalNew York, NY

Become a fully trained and licensed stockbroker and build yourself a great career ... recent college graduates to enter our Stockbroker Trainee program. Working... more

Nov 06Financial 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

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 18Associate Investigator, Office of Fraud Detection and Market Intelligence, Central Review GroupFinraNew York, NY

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

Nov 18Senior Customer Service Representative (w/validFINRA Series 6 License)Exl ServiceRichmond, VA

EXL looks deeper. Deeper into your business to find smarter solutions and clearer strategies for a better business model. We believe that businesses must look deeper at how they... more

Nov 18Associate Investigator, Office of Fraud Detection and Market Intelligence, Central Review Group - NeFinraNew York, NY

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

Nov 18Stockbrokers - 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 17FINRA 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

Nov 16Fianancial Advisor /StockbrokerSouthport Financial/raymondjamesConnecticut

We are an independent, full service investment firm located in Southport, CT looking for a Financial Advisor to join our team. We Offer : Vibrant, comfortable atmosphere where you... more

Nov 15Compliance Examiner - Market Regulation, TMMS OptionsFinraNew 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

Nov 14FINRA 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

Nov 12DO YOU WANT TO BE ASTOCKBROKER? We offer series 7 and 63 sponsorship.Global Arena CapitalNew York, NY

Global Arena Capital Stockbroker Trainee - Entry Level (Paid Training and Licensing) Job Description Become a fully trained and licensed stockbroker and build yourself a great... more

Nov 11Case Assistant I - Dispute ResolutionFinraNew York, NY

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

Nov 09Business 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 08Licensed FINRA Series 6/7 Call Center Rep.Superior GroupDallas, TX

Superior Group is currently searching for two Call Center Representative for our insurance client north of Downtown Dallas 75206. The individuals selected Must hold an ACTIVE... more

Nov 07Business Analyst, Sr.Specialist - Market RegulationFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Business Analyst, Senior Specialist opening in New... more

Nov 07Investment 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: 130100083... more

Nov 07HR Associate, HR Relationship ManagementFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: 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... more

Nov 06Principal Associate, Brokerage FINRA Principal - New OrleansMajor Diversified Banking CompanyMelville, NY

Summary: Participate in the approval process for brokerage, annuity and life insurance trades. Apply consistency in decision making, thorough review of account paperwork and... more

Nov 06Financial 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

Nov 06Investment 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

Nov 04Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseChicago, IL

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and operations... 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 01Compliance/Regulatory Audits & Inquiries/SEC,FINRAJersey City, NJ

Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Compliance - Regulatory Audits & Inquiries - Consultant to join their team. Work for an... more