An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 25, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
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Feb 24Stockbrokers - 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

Feb 22Associate Principal Examiner, Member Regulation, ROOR (New York)FinraNew 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 22Senior 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 15Compliance Examiner - Member Regulation, Sales Practice - New York, NY(Job Number: 003023) (00744796)FinraNew 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 15Associate Director, Risk Management - New York, NY(Job Number: 003149) (00744797)FinraNew 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 15Associate Director, Risk Management - Washington, DC or New York, NY(Job Number: 003150) (00744788)FinraWashington, 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 12FINRA 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

Feb 10Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515) (00707779)FinraChicago, 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 10Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002530) (00697218)FinraNew 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 10Compliance Examiner - Member Regulation, Membership Application Program - New York, NY( Job Number: 002710) (00688919)FinraNew 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 10Analyst III, Market Risk - Member Regulation, ROOR, New York, NY( Job Number: 002629) (00688918)FinraNew 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 10Regulatory Coordinator - Member Regulation, Sales Practice - New York, NY(Job Number: 002846) (00697219)FinraNew 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 10Regulatory Analyst - Market Regulation, Market Manipulation Investigations/Trading Analysis (00734842)FinraRockville, 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 10Vice 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 10Compliance Examiner - Member Regulation, Sales Practice - Philadelphia, PA (00734721)FinraPhiladelphia, 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 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 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 25Service Center Broker SupervisorScottradeWestminster, 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 21Service Center Financial Service RepresentativeScottradeSt 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 13Service Center Technician - Westminster, CO JobScottradeWestminster, 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 13Service Center TechnicianScottradeWestminster, 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 13Financial 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

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 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

Feb 25Advisor/StockbrokerSpartan Capital SecuritiesGarden 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 22FINRA Legal Extern (Unpaid)FinraPhiladelphia, 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 21Service Center StockbrokerRecruit Gaap StaffingRiverside, 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 20Financial Service Representative Trainee - Westminster, CO JobScottradeArvada, 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 20Service Center Financial Service Representative - St. Louis, MO JobScottradeSaint 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 19Entry 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

Feb 11Financial AdvisorBrokerhunter.comAtlanta, 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 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 05Financial AdvisorStockbrokerEdward JonesEl 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 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 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

Feb 24Stockbrokers - 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

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


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