by Bill Singer
Year End Employment Spectacular At BrokeAndBroker.com
December 27, 2013
back-office staff.
| Dec 23 | Financial AdvisorStockbroker | Edwardjones | Pascagoula, MS |
Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more | |||
| Dec 23 | Service CenterStockbroker | Recruit Gaap Staffing | Savannah, 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 | |||
| Dec 21 | Entry level Stock Broker | Greenwich Point Wealth Management | Greenwich, 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 | |||
| Dec 20 | Portfolio / Stock Administrator | Insync Staffing | San Jose, CA |
Responsibilities: We are looking for a highly detail-oriented Stock Plan Administrator to process stock options, stock option grants, RSUs, exercises, and cancellations as well... more | |||
| Dec 20 | Stockbroker/Account Executive | DMG Securities | Great Falls, VA |
DMG Securities, Inc. is a full-service investment banking and securities brokerage firm. We are an experienced group of highly motivated professionals dedicated to providing the... more | |||
| Dec 19 | Financial Consultant | Bcm Global Equity Group | Melville, NY |
Consultant Financial Consultant (Long Island)Stockbroker -- Entry Level TraineeBCM Global Equity Group is looking for individuals with impressive work ethic and a strong desire to... more | |||
| Dec 18 | Claims Specialist - Insurance Agents and Securities Broker/Dealer Professional Liability | CNA | New 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 | |||
| Dec 17 | Equity Research Associate - Oil Field Se... | Ef6982 | Houston, TX |
Job Description Opportunities exist for Research Associates to join our team in Houston. Macquarie Group is a global provider of banking, financial, advisory, investment and... more | |||
| Dec 17 | Equity Research Associate - Oil Field Services | Macquarie | Houston, TX |
EQUITY RESEARCH ASSOCIATE - OIL FIELD SERVICES Job number: MSG-915600 Group: Macquarie Securities Group Division: Cash - Research Recruiter: Lacey Lane Work type: Full time... more | |||
| Dec 12 | Financial Adviser - Wealth Management | ING Financial Partners - Tampa | Saint Petersburg, FL |
Inc. Key words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, Asset Management, Wealth Planner, Investment Sales, Registered Representative, Investment... more | |||
| Dec 03 | Stock Broker / Stock Broker Trainee | Vfinance Investments | Miami, 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 | |||
| Dec 20 | Stockbrokers - New Industry | Everest Merchant Services | New 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 | |||
| Dec 19 | Stockbroker | Scottsdale Capital Advisors | Scottsdale, AZ |
Job Description: Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing,... more | |||
| Dec 07 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden 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 | |||
| Dec 02 | Stockbroker | Pendulum Capital Markets | Hackensack, 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 | |||
| Dec 26 | FINRA Undergraduate Intern, OGC Code of Conduct - Washington | Financial Industry Regulatory Authority | Washington D.c., DC |
Title: FINRA Undergraduate Intern, OGC Code of Conduct - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer Internship... more | |||
| Dec 25 | Administrative Assistant | Recruitarrow | Huntington, NY |
Job Responsibilities and Requirements: Responsibilities? Provide administrative support for the assigned Region and associated branch to include support for facility and... more | |||
| Dec 23 | Financial AdvisorStockbroker | Edwardjones | Milwaukee, WI |
Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more | |||
| Dec 22 | FINRAUndergraduate/Graduate Intern, Enforcement | Financial Industry Regulatory Authority | Rockville, MD |
Title: FINRA Undergraduate/Graduate Intern, Enforcement - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer Internship... more | |||
| Dec 20 | FINRAUndergraduate/Graduate Intern, Enforcement | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience... more | |||
| Dec 20 | Stockbroker/Account Executive | DMG Securities | Great Falls, VA |
DMG Securities, Inc. is a full-service investment banking and securities brokerage firm. We are an experienced group of highly motivated professionals dedicated to providing the... more | |||
| Dec 19 | Licensing/Registration Coord | ING North America Insurance | Des Moines, IA |
Responsible for processing applications, renewals and cancellations for registered representatives/agent registrations/licenses in specific states and registering for...more | |||
| Dec 19 | FINRAUndergraduate/Graduate Intern, Regulatory Programs - Washington | Financial Industry Regulatory Authority | Washington D.c., DC |
Title: FINRA Undergraduate/Graduate Intern, Regulatory Programs - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer... more | |||
| Dec 19 | FINRAUndergraduate/Graduate Intern, Member Regulation | Financial Industry Regulatory Authority | Boca Raton, FL |
Title: FINRA Undergraduate/Graduate Intern, Member Regulation - Boca Raton, FL Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer... more | |||
| Dec 19 | FINRA Undergraduate Intern, Emerging Regulatory Issues - Washington | Financial Industry Regulatory Authority | Washington D.c., DC |
Title: FINRA Undergraduate Intern, Emerging Regulatory Issues - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Summer... more | |||
| Dec 17 | FINRAUndergraduate/Graduate Intern, Member Regulation | Finra | Boca Raton, FL |
We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the... more | |||
| Dec 17 | FINRA Undergraduate Intern, OGC Code of Conduct - Washington | Finra | Washington D.c., DC |
We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more | |||
| Dec 17 | FINRAUndergraduate/Graduate Intern, Regulatory Programs - Washington | Finra | Washington D.c., DC |
We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more | |||
| Dec 16 | Policy Change Technician | South Dakota State Government | Sioux Falls, SD |
File knowledge helpful • Prior insurance background helpful • Calculator and PC skills with high degree of accuracy important • FINRA regulations may require fingerprinting for... more | |||
| Dec 11 | Director of Audit | Finra Member Broker-dealer | Jersey City, NJ |
Responsibilities include the development of the overall audit strategy to help meet organizational objectives. Perform annual and ongoing entity wide risk assessment. Develop... more | |||
| Dec 06 | FINANCIAL SERVICES MANAGER | Parker + Lynch | Charlotte, NC |
Management role located in Charlotte North Carolina with a dynamic company working in Financial Services. Candidate must posses FINRA series 6, 63 and 26 or 7 and 24. Ideal... more | |||
| Dec 05 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - Chicago | JPMorgan Chase | Illinois |
Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-130100083 Job Description Chase is the U.S. consumer and commercial banking... more | |||
| Dec 04 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services | JPMorgan Chase | San Antonio, TX |
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... more | |||
| Dec 03 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio | JPMorgan Chase | Texas |
Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio, TX-130107831 Job Description Chase is the U.S. consumer and commercial banking... more | |||
| Dec 24 | Graduate/Undergraduate Intern - Corporate Communications, Government Relations (The Largest Independent Regulator For All Securities Firms) | Finra | Washington D.c., DC |
Required experience: 0 - 2 years Minimum required education: Bachelor's Degree Job category: Business & Strategic Management The position also requires coverage of Capitol Hill... more | |||
| Dec 21 | Regulatory Analyst | Finra | Rockville, MD |
Grade 43 - Working knowledge of relevant rules and regulations enforced by the Company and ability to conduct telephone interviews Grade 45 - A minimum of three years of directly... more | |||
| Dec 20 | Stockbrokers - New Industry | Everest Merchant Services | New 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 | |||
| Dec 20 | Compliance/Regulatory Audits & Inquiries/SEC,FINRA | Jersey 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 | |||
| Dec 19 | Stockbroker | Scottsdale Capital Advisors | Scottsdale, AZ |
Job Description: Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing,... more | |||
| Dec 13 | Manager Market Regulation, MMI/Trading Analysis | Finance & Investment | Finra | Rockville, MD |
Essential Job Functions: Takes leadership role by providing input to senior managers in identifying and anticipating regulatory issues that impact the role and responsibilities of... more | |||
| Dec 07 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden 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 | |||
| Dec 05 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required | Chase | Chicago, 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 | |||
| Dec 02 | Stockbroker | Pendulum Capital Markets | Hackensack, 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 | |||
Search BrokeAndBroker
Related Topics
Previous Entries
-
Rep Wins Expungement of 11 Year Old Complaint At Defunct Brokerage Firm
June 29, 2017
In a recent FINRA expungement arbitration, a registered person challenged an 11-year-old customer complaint. In the ensuing years, the brokerage firm ... Read On
-
FINRA Arbitrators Can't Explain
June 28, 2017
To most Wall Street observers, today's BrokeAndBroker.com Blog's featured FINRA arbitration is a ho-hum, garden-variety dispute between an employer an... Read On
-
SEC Settlement Cites Trading Ahead of Research
June 27, 2017
There's no crying in baseball and there shouldn't be any tears shed on Wall Street when it comes to regulation. Frankly, much of what passes for regul... Read On
-
BREAKING NEWS: Supreme Court Affirms 3 Year Limit in CalPERS v. ANZ
June 26, 2017
An issue that had divided the federal circuit courts was whether the filing of a putative class action satisfies the three-year time limitation in Sec... Read On
-
FINRA Buries the Lede With FAS Rep Settlement
June 26, 2017
In newspaper lingo, "bury the lede" refers the practice of reporting the news by not opening with the most critical aspects of the story. Although suc... Read On
-
BrokeAndBroker.com Blog by Bill Singer WEEK IN REVIEW
June 24, 2017
Market Fragility And Interconnectedness http://www.brokeandbroker.com/3508/sec-bauguess-fragility/As a former regulatory lawyer with two differen... Read On
-
Market Fragility and Interconnectedness
June 23, 2017
As a former regulatory lawyer with two different Wall Street self-regulatory organizations, BrokeAndBroker.com Blog publisher Bill Singer is a be... Read On
-
South Park Gnomes' Underpants Scheme Inspires FINRA Arbitration Decision
June 22, 2017
The "South Park" Mountain Gnomes have a plan to steal underpants and make millions of dollars in profits. It is a brilliant plan and carried out with ... Read On