by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 25, 2014
back-office staff.
| Feb 24 | 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 | |||
| Feb 22 | Associate Principal Examiner, Member Regulation, ROOR (New York) | Finra | New York, NY |
This includes collecting and reviewing member firms records and documents, customer-supplied information, and information available through our systems Knowledge of securities... more | |||
| Feb 22 | Senior Internal Auditor (Broker/Dealer, FINRA, SEC) | Charlotte, NC | |
Responsible to be "in-charge' or to "lead' moderate to complex operational or regulatory internal audits including performing risk assessments, developing audit scope and audit... more | |||
| Feb 15 | Compliance Examiner - Member Regulation, Sales Practice - New York, NY(Job Number: 003023) (00744796) | Finra | New York, NY |
Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the... more | |||
| Feb 15 | Associate Director, Risk Management - New York, NY(Job Number: 003149) (00744797) | Finra | New York, NY |
The Associate Director of Market Risk is responsible for the design, development, enhancement, and implementation of key market risk measurement methodologies and approaches as... more | |||
| Feb 15 | Associate Director, Risk Management - Washington, DC or New York, NY(Job Number: 003150) (00744788) | Finra | Washington, DC |
The Associate Director of Market Risk is responsible for the design, development, enhancement, and implementation of key market risk measurement methodologies and approaches as... more | |||
| Feb 12 | FINRA Compliance Officer | Sicor Securities | Dayton, 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 | |||
| Feb 10 | Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515) (00707779) | Finra | Chicago, IL |
Conducts on-site examinations and assesses Floor member and member organization's financial and operational condition and compliance with securities rules and... more | |||
| Feb 10 | Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002530) (00697218) | Finra | New 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 | |||
| Feb 10 | Compliance Examiner - Member Regulation, Membership Application Program - New York, NY( Job Number: 002710) (00688919) | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member... more | |||
| Feb 10 | Analyst III, Market Risk - Member Regulation, ROOR, New York, NY( Job Number: 002629) (00688918) | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst III, Market Risk opening inNew York, NY. To be considered for this... more | |||
| Feb 10 | Regulatory Coordinator - Member Regulation, Sales Practice - New York, NY(Job Number: 002846) (00697219) | Finra | New 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 | |||
| Feb 10 | Regulatory Analyst - Market Regulation, Market Manipulation Investigations/Trading Analysis (00734842) | Finra | Rockville, MD |
FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD. Job Summary: The Regulatory Analyst conducts routine review and investigations... more | |||
| Feb 10 | Vice President & Associate General Counsel | Finra | Washington, 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 10 | Compliance Examiner - Member Regulation, Sales Practice - Philadelphia, PA (00734721) | Finra | Philadelphia, PA |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Philadelphia, PA. Examiners review or investigate... more | |||
| Feb 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 | |||
| Feb 07 | Contracting & FINRARepresentative | John Hancock Financial Services | Portsmouth, 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 25 | Service Center Broker Supervisor | Scottrade | Westminster, CO |
broker experience and proficient as a Stockbroker in the discount industry required.* 3+ years of customer service/call center experience in the financial services industry...more | |||
| Feb 21 | Service Center Financial Service Representative | Scottrade | St Louis, MO |
Service Center Financial Service Representative - St. Louis, MO Job ID: 20141802-8612 Description:Scottrade, Inc.has a Service Center Financial Service Representative position... more | |||
| Feb 13 | Service Center Technician - Westminster, CO Job | Scottrade | Westminster, CO |
Job ID: 20141102-8590 Description: The main purpose of this position is to provide a quality customer service experience supporting Scottrade's customers and branches in a... more | |||
| Feb 13 | Service Center Technician | Scottrade | Westminster, CO |
Service Center Technician - Westminster, CO Job ID: 20141102-8590 Description:The main purpose of this position is to provide a quality customer service experience supporting... more | |||
| Feb 13 | Financial Service Representative Trainee | Scottrade | Westminster, 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 | |||
| Feb 08 | Financial Service Representative Trainee - Westminister, CO Job | Scottrade | Westminster, 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 01 | Macquarie Securities Group - Energy Rese... | Ef6982 | Houston, 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 | |||
| Feb 25 | Advisor/Stockbroker | Spartan Capital Securities | Garden City, NY |
Spartan Capital's respected team of investment banking professionals helps our clients to grow assets through portfolio construction and investment diversification, often... more | |||
| Feb 22 | FINRA Legal Extern (Unpaid) | Finra | Philadelphia, PA |
We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Extern - Department of Enforcement opening in Philadelphia, PA. To be... more | |||
| Feb 21 | Service Center Stockbroker | Recruit Gaap Staffing | Riverside, 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 20 | Financial Service Representative Trainee - Westminster, CO Job | Scottrade | Arvada, 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 20 | Service Center Financial Service Representative - St. Louis, MO Job | Scottrade | Saint Louis, MO |
Job ID: 20141802-8612 Description: Scottrade, Inc. has a Service Center Financial Service Representative position available in Saint Louis, MO. The main purpose of this position... more | |||
| Feb 19 | Entry level Stock Broker | Greenwich Point Wealth Management | Greenwich, 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 | |||
| Feb 11 | Financial Advisor | Brokerhunter.com | Atlanta, GA |
de variety of career opportunities in the securities industry, including Series 7 & 63/65/66 licensed Financial Adviser, RIA, Wealth Management, Stockbroker, Investment... more | |||
| Feb 08 | Account Executive- Large Case Group & Voluntary Benefits | Unum | Los 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 07 | Account Executive- Large Case Group & Voluntary Benefits | Unum Group | Glendale, 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 07 | Stock 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 05 | Financial AdvisorStockbroker | Edward Jones | El Paso, TX |
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 04 | Financial Adviser - Wealth Management | ING Financial Partners | Philadelphia, PA |
Key words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, Asset Management, Wealth Planner, Investment Sales, Registered Representative, Investment Advisor,... more | |||
| Feb 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 | |||
| Feb 01 | Roadshow and Conference Coordinator | Ef6982 | New 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 | |||
| Feb 24 | 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 | |||
| Feb 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 | |||
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