An irreverent Wall Street Blog
by Bill Singer

Year End Employment Spectacular At BrokeAndBroker.com

December 27, 2013

GOT THE HOLIDAY BLUES?
READY TO JUMP SHIP FOR THE NEW YEAR?

Stockbroker, Compliance, Legal, and Regulatory Jobs

For a full listing of current job openings, 
visit the BrokeAndBroker 

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Click POST A JOB and your position will be promptly listed.  
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Dec 23Financial AdvisorStockbrokerEdwardjonesPascagoula, 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 23Service 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

Dec 21Entry 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

Dec 20Portfolio / Stock AdministratorInsync StaffingSan 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 20Stockbroker/Account ExecutiveDMG SecuritiesGreat 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 19Financial ConsultantBcm Global Equity GroupMelville, 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 18Claims Specialist - Insurance Agents and Securities Broker/Dealer Professional LiabilityCNANew 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 17Equity Research Associate - Oil Field Se...Ef6982Houston, 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 17Equity Research Associate - Oil Field ServicesMacquarieHouston, 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 12Financial Adviser - Wealth ManagementING Financial Partners - TampaSaint Petersburg, FL

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

Dec 03Stock 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


Dec 20Stockbrokers - 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

Dec 19StockbrokerScottsdale Capital AdvisorsScottsdale, 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 07Financial 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

Dec 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

Dec 26FINRA Undergraduate Intern, OGC Code of Conduct - WashingtonFinancial Industry Regulatory AuthorityWashington 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 25Administrative AssistantRecruitarrowHuntington, NY

Job Responsibilities and Requirements: Responsibilities? Provide administrative support for the assigned Region and associated branch to include support for facility and... more

Dec 23Financial AdvisorStockbrokerEdwardjonesMilwaukee, 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 22FINRAUndergraduate/Graduate Intern, EnforcementFinancial Industry Regulatory AuthorityRockville, 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 20FINRAUndergraduate/Graduate Intern, EnforcementFinraRockville, 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 20Stockbroker/Account ExecutiveDMG SecuritiesGreat 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 19Licensing/Registration CoordING North America InsuranceDes Moines, IA

Responsible for processing applications, renewals and cancellations for registered representatives/agent registrations/licenses in specific states and registering for...more

Dec 19FINRAUndergraduate/Graduate Intern, Regulatory Programs - WashingtonFinancial Industry Regulatory AuthorityWashington 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 19FINRAUndergraduate/Graduate Intern, Member RegulationFinancial Industry Regulatory AuthorityBoca 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 19FINRA Undergraduate Intern, Emerging Regulatory Issues - WashingtonFinancial Industry Regulatory AuthorityWashington 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 17FINRAUndergraduate/Graduate Intern, Member RegulationFinraBoca 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 17FINRA Undergraduate Intern, OGC Code of Conduct - WashingtonFinraWashington 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 17FINRAUndergraduate/Graduate Intern, Regulatory Programs - WashingtonFinraWashington 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 16Policy Change TechnicianSouth Dakota State GovernmentSioux 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 11Director of AuditFinra Member Broker-dealerJersey 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 06FINANCIAL SERVICES MANAGERParker + LynchCharlotte, 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 05Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - ChicagoJPMorgan ChaseIllinois

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 04Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage ServicesJPMorgan ChaseSan 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 03Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San AntonioJPMorgan ChaseTexas

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 24Graduate/Undergraduate Intern - Corporate Communications, Government Relations (The Largest Independent Regulator For All Securities Firms)FinraWashington 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 21Regulatory AnalystFinraRockville, 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 20Stockbrokers - 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

Dec 20Compliance/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

Dec 19StockbrokerScottsdale Capital AdvisorsScottsdale, 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 13Manager Market Regulation, MMI/Trading Analysis | Finance & InvestmentFinraRockville, 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 07Financial 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

Dec 05Investment 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

Dec 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

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