EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 11, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
For a full listing of current job openings, 
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Feb 10Macquarie Securities Group - Energy Research Associate (00736392)Macquarie HoldingsHouston, TX

Opportunities exist for Research Associates to join our team in Houston. Commodities Research Associate - Global Oil Macquarie Group is a global provider of banking, financial,... more

Feb 08Financial Service Representative Trainee - Westminister, CO JobScottradeWestminster, CO

while training to become a licensed stockbroker. It is expected that the incumbent will pass the Series 7 and Series 63 exams within 4-5 months of assuming this position. more

Feb 08Account 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

Feb 07Account 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

Feb 07Stock Plan Administrator (1879)San Jose, CA

We are currently seeking a Stock Plan Administrator for a 5+ month contract in San Jose:SUMMARYWe are looking for a highly detail-oriented Stock Plan Administrator to process... more

Feb 05Service Center StockbrokerRecruit Gaap StaffingKansas City, MO

is search for a full time Service Center Stockbroker for a client company located in Kansas City, MO area. Industry: Financial Services. With an environment described as:... more

Feb 05Financial AdvisorStockbrokerEdward JonesEvansville, IN

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

Feb 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

Feb 01Roadshow and Conference CoordinatorEf6982New York, NY

Job Description We are looking for a Roadshow Coordinator to join our New York Corporate Access team. Macquarie Group is a global provider of banking, financial, advisory,... more

Jan 27Associated Investment Services Call Center RepresentativeAssociated Bank-corpGreen Bay, WI

Series 7-Stockbroker ExamRequired Series 63-Uniform Securities Agent State Law ExamRequired Series 66 LicenseOther Duties and ResponsibilitiesPerforms other duties as assigned.Job... more

Jan 21Tutor or Teacher - AccountingWyzant TutoringSan Clemente, CA

I am a stockbroker with an MBA looking for help with accounting and finance. accounting Tutoring & Teaching opportunities available in San Clemente, CA starting at $25-$50/hr. more

Jan 20Entry level Stock BrokerGreenwich Point Wealth ManagementGreenwich, CT

Entry Level Stockbroker opportunityConsidering a career in finance?We are currently hiring for our broker trainee program in the Greenwich, CT office. The Broker Trainee Program... more

Jan 20AdvertisingSepClearwater, FL

with unlimited income potential. We welcome stockbroker and advertising professionals - people who are used to smiling and dialing. Serious contenders only, please call Kevin... more

Jan 15Wealth Management Trainee Entry Level (Paid Training and Licensing)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

Jan 13Financial ConsultantBcm Global Equity GroupMelville, NY

Financial Consultant (Long Island) Stockbroker -- Entry Level Trainee BCM Global Equity Group is looking for individuals with impressive work ethic and a strong desire to... more

Jan 13Equity Research Associate - SemiconductorsMacquarie CapitalNew York, NY

We are a global provider of banking, financial, advisory, investment and funds management services.We offer you the experience and freedom to grow your career whilst making your... more

Feb 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

Feb 03Stockbrokers - 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

Jan 13Stockbroker Internship |National SecuritiesNew York, NY

Description: Find clients and grow relationshipsStock, Mutual Funds, & ETFsOptions StrategiesBonds & Fixed InvestmentsLife Insurance & Variable AnnuitiesRetirement...more

Jan 13Stockbroker InternshipNational SecuritiesNew York, NY

Interns will not work more than 10 hours a weekRequired experience: 0 - 2 yearsMinimum required education: Bachelor's DegreeJob category: Accounting, Insurance & Finance;Sales,... more

Feb 11Investigator II, Corporate FinancingFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Investigator II, Corporate Financing opening in Rockville, MD . To be considered... more

Feb 11HR Representative, Talent AcquisitionFinraRockville, MD

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

Feb 11Coordinator III, Corporate Meetings & TravelFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Coordinator III, Corporate Meetings & Travel opening in Washington, DC . To be... more

Feb 11Director I, Forensic & Litigation SupportFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Director, Forensic Investigations & Litigation Support opening in Rockville, MD . more

Feb 08Compliance Examiner - Member Regulation, Sales PracticeFinraChicago, IL

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

Feb 08Analyst I - Corporate FinancingFinraRockville, MD

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

Feb 08Associate Director - SOX ComplianceFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Director, SOX Compliance opening in Rockville, MD. To be considered for... more

Feb 08Principal - TechnologyFinraNew York, NY

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

Feb 07Regulatory Analyst - Market Regulation, Market Manipulation InvestigationsFinraRockville, MD

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

Feb 07Contracting & FINRARepresentativeJohn Hancock Financial ServicesPortsmouth, NH

Contracting & FINRA Representative-RLL0125280Responsibilities: Signator Investors Inc., John Hancock's broker dealer, is a client focused organization that is looking for people... more

Feb 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

Feb 06FINRA Extern - Member Regulation, Sales Practice (UNPAID)FinraWoodbridge, NJ

We Work to Protect Investors. Join our Team. FINRA is dedicated to providing you an externship opportunity to gain knowledge and experience in the securities industry with an... more

Feb 06Paralegal, Office of General CounselFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Paralegal openings in Washington, DC . To be considered for this position, please... more

Feb 06Vice President & Deputy, Sales Practice - NY, NY or other FINRA office locationFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Vice President & Deputy, Sales Practice opening in New York, NY or other FINRA... more

Feb 06Compliance Examiner - Member Regulation, Sales Practice - CauseFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in the Cause Examination program New York, NY . To be... more

Feb 06Vice President & Associate General CounselFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Vice President & Associate General Counsel opening in Washington, DC . To be... more

Feb 03Stockbrokers - 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

Jan 31Risk Specialist, Office of Risk - Washington, DC or New York, NYFinraWashington, DC

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

Jan 28HIRING: FINRA CERTIFIED? (FINANCIAL ADVISOR -WEALTH MANAGER-TRADER & MORE)Brad HensenDallas, TX

We specialize in placing FINRA licensed professionals with one of our many top tier broker-dealers all over the U.S. We maintain exclusive relationships with our clients to help... more

Jan 18FINRA Brokerage Principal New Orleans LA or Melville NYCapital OneNew Orleans, LA

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

Jan 13Stockbroker Internship |National SecuritiesNew York, NY

Description: Find clients and grow relationshipsStock, Mutual Funds, & ETFsOptions StrategiesBonds & Fixed InvestmentsLife Insurance & Variable AnnuitiesRetirement...more

Jan 13FINRA 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

Jan 13Stockbroker InternshipNational SecuritiesNew York, NY

Interns will not work more than 10 hours a weekRequired experience: 0 - 2 yearsMinimum required education: Bachelor's DegreeJob category: Accounting, Insurance & Finance;Sales,... more

Feb 04Financial Adviser - Wealth ManagementING Financial PartnersPhiladelphia, PA

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

Feb 01Macquarie Securities Group - Energy Rese...Ef6982Houston, TX

Job Description Opportunities exist for Research Associates to join our team in Houston. Commodities Research Associate - Global Oil Macquarie Group is a global provider of... more

Jan 31Service Center Technician - St. Louis, MO JobScottradeSt Louis, MO

Job ID: 20142301-8496 Description: The main purpose of this position is to provide a quality customer service experience supporting Scottrade's customers and branches in a... more

Jan 29Service Center TechnicianScottradeSt Louis, MO

Service Center Technician - St. Louis, MO Job ID: 20142301-8496 Description:The main purpose of this position is to provide a quality customer service experience supporting... more

Jan 27Associated Investment Services Call Center RepresentativeAssociated BankGreen Bay, WI

Series 7-Stockbroker ExamRequired Series 63-Uniform Securities Agent State Law ExamRequired Series 66 LicenseOther Duties and ResponsibilitiesPerforms other duties as assigned.Job... more

Jan 27Call Center Tech Support RepresentativeScottradeWestminster, CO

Call Center Tech Support Representative - Westminster, CO Job ID: 20132911-8287 Description:Scottrade, Inc.has aCall Center Tech Support Representativeposition available... more

Jan 27Financial Service Representative TraineeScottradeWestminster, CO

while training to become a licensed stockbroker. It is expected that the incumbent will pass the Series 7 and Series 63 exams within 4-5 months of assuming this... more

Jan 17Stock 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

Jan 16Financial Adviser - Wealth ManagementING Financial Partners (dc) - Mcadam Financial GroupVienna, VA

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

Jan 13Emerging Markets AnalystLeadinginvestmentmanagementorginizationKingdom, NY

Job Description Emerging Market Equities Analyst-10187 We believe in longevity and our investment team has evolved over the years to include some of the industry's leading... more

Jan 13Internship (Finance and Economics) (A Pioneer In The Financial Services Industry)ScottradeAtlantic City, NJ

S* Have completed 50-70 hours of required coursework and have a balance of no fewer than 48 hours remaining towards their Bachelors Degree (1-2 years of college remaining)*... more

Jan 13Equity Research Associate - Machinery/Engineering & ConstructionMacquarie GroupSan Francisco, CA

We are a global provider of banking, financial, advisory, investment and funds management services.We offer you the experience and freedom to grow your career whilst making your... more