An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 25, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
For a full listing of current job openings, 
visit the BrokeAndBroker 

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: 
stockbrokers, advisors, lawyers, regulators, compliance officers, and 
back-office staff.
  
Click POST A JOB and your position will be promptly listed.  
Only $25 for 30 days!

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


Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement Employment Street Sweeper Jobs Bill SInger Wells Fargo Fraud OBA Promissory Note Email U5 U4 Wire Fraud Forbes UBS FBI Elderly Merrill Lynch Morgan Stanley EFL Statutory Disqualification PST ALJ Defamation Suitability Citigroup Borrowing Ponzi Rule 3270 Outside Business Activity OIP BrokerCheck CRD Whistleblower Supervision IRS Wachovia Form U4 Bank Felony Wrongful Termination DOJ Willful Supreme Court Mail Fraud NAC SDNY BrokerAndBroker Expenses CCO Insider Trading Pro Se Employment Tuesday Form U5 Ameriprise Conversion Checks Discretion Bankruptcy WSP Raymond James IRA Punitive Damages Madoff Rule 3240 NASD Credit Card Forgery OHO Private Securities Transaction Discovery Rule 3040 Guest Blog Wife RIA Rule 8210 Willfulness Dodd Frank Rule 2010 Outside Business Activities Indictment Estate Tax Real Estate JP Morgan Rule 1122 Husband Exam Commissions Power of Attorney Wall Street Settlement Business Expenses Rule 2080 Street Legal LPL Facebook Impersonation NYSE ATM Tax Lien Small Firm Antitrust Annuities 2Cir Stephen Kohn Case In Point Corrective Action Statement Bar Rule 3280 Mortgage Appeal Test Edward Jones Wire Bank of America Schapiro SRO Schwab Goldman Sachs NSF Tax Liens Offer of Settlement Rule 2510 Margin BrokeAndBroker Trust Employee Forgivable Loan Conspiracy Securities Fraud Signatures NASAA Promissory Notes Complaint Trustee Beneficiary Spouse HFT Misdemeanor ETF ARS PCAOB Loan Signature VA T&P Cease And Desist Fidelity Injunction Lien Chase Initial Decision Flash Crash LOA Due Diligence Money Laundering Barclays Annuity DCCir Huffington Post CFTC Guest Blogger Unauthorized Discretion NASDAQ RBC Credit Cards Away Account Registered Rep Magazine email Liens Continuing Education POA Deutsche Bank Variable Annuity Spouses Bharara Remand MSSB Gallagher Hacker Bonus Identity Theft Lehman Brothers Unfair Competition OTR RRBDLAW.com Compliance Failure to Supervise Stay E*Trade Forex Scottrade Audit Rule 3010 Letter of Authorization Burris Stockbrokers Wedbush Options Eligibility Rule Annual Compliance Questionnaire FINRA Arbitration Solicitation employment JPMorgan Mandatory Arbitration Malware Second Circuit Rule 12805 Wey Social Media Website Insurance Net Capital 2nd Circuit Will Prison Registration arbitration Solicited Hacking Rule 3050 Fiduciary LIBOR Rule 12206 Away Accounts Undisclosed Settlement jobs brokeandbroker Disclosure Sanctions Bureau of Prisons RMBS Customer Complaint IC3 Unsolicited BOP Judgments Reg SP Newman Great Recession Apple BrokeandBroker Time And Price Dissent 10Cir TRO Customer Reimbursement Retirement Trading Platform Broker Protocol FINOP Rule 4530 Plea Private Placement FOREX Internet RRBDlaw.com Brummer Telephone Private Securities Transactions BrokeAndBroker Bill Singer OWB Rule 4511 Rule 2111 Spoofing DOL Self Regulation MetLife Divorce Motion to Dismiss Variable Annuities Rakoff Piwowar Frumento Lucia Auction Rate Securities Lehman Personal Expenses Stifel Examination REIT Unauthorized Trading Protocol China Hedge Fund Explained Decision Willfully Knight Zipper ADA Check Kiting NYAG Obstruction of Justice Confidential Information Commission Cheating Crowdfunding Waiver PNC Dakota Securities Rule 12200 High Frequency Trading Joshua Brown Debit Card Bonds Jurisdiction Rule 2081 Arbitraiton Woody Allen Compensation Retaliation Churning Charge Regulation SP bill singer Wine MC-400 Postponement OSHA Board Executor Passcode Discrimination Affinity Fraud Raiding SAC Confidential EIA Wire Transfer IPO JOBS Act Gold Affiliate Fees PN Phishing Deceased Medicare Banc of America OIG 9Cir Class Action Sexist MF Global Appointments Clause Reg D Bandimere Sanction Guidelines Unsuitability Ketchum Vacatur Article V Morgan Keegan Disgorgement FNMA Lawyer Botkin Rule 2150 Aleynikov Khuzami WSPs Hurry Due Process Shah Gilani Ride the Thunder Smith Barney Casino Aguilar Testimony Rule 13805 Deferred Compensation Corzine Online CEO McDuff 401k Statement of Corrective Action Teleconference Reg S-P Poteroba HSBC Indemnification ACQ Charles Schwab Widow Private Placements Dementia Rule 3110 Unregistered Corruption Finder\'s Fee Morgan Stanley Smith Barney Vietnam White Parking Concentration CE Disability Johnny Burris Guitron Embezzlement Confirm Penson Information Marketplace NPR Stanford Self Regulatory Organization Hearing USERRA Vault AML Mutual Fund Unjust Enrichment Rosenthal Recruiting Rule 3030 Laptop Termination Imposter Loans Bid Rigging Bank Fraud Small Firm Governor Morgan Stanely Chief Compliance Officer Commodities Fraud Hilton Weiner Failure To Supervise Bear Stearns Marine Corps Check Bloomberg Written Supervisory Procedures Emails ING Customer Information Marijuana Pennystocks Accounting Conflict Side Bar Eligibility Mutual Funds Suspension Testing 6th Circuit Day Trading Elder Abuse Statute of Limitations Whistleblowing Sexism Whitman Government Accountability Project Stifel Nicolaus Yesenia Guitron Pennystock Series 7 Employment Agreement Marines Oppenheimer Kon Consent Order Charity Sales Assistant IAR Form ADV RRBDlaw Do Not Call Fowler Kiting Timban TD Ameritrade Sexual Harassment Fifth Amendment OCIE FOCUS Elles Inside Information OWWP CGMI TheBlot Research Chiasson SP Unsuitable 11th Circuit Florida Department of Justice Schneiderman Moon Severance WaMu Inmate Rule 2210 Membership Continuance SunTrust Statutory Disqualification Committee Negligence Probate Scholander signature TIC Medical Condition Thain Star Wars Client Information CNBC Tax Fraud Rule 9216 BD Leveraged ETF 4Cir Equity Indexed Annuities Over Concentration TOD BrokerAndBroker.com 40 Act Rule 1031 Rule 2370 Scottsdale CPA Third Party Vendor Layering Red Flags Robert Cook Guest Bloggers ACH Backstage Wall Street Outside Account FINRA AWC Broke And Broker David Sobel Motion to Vacate Board of Governors Taft Correctional Institution Chase Investment Services Arrest Commodities Restaurant Non-Solicitation Inability to Pay Unauthorized Practice of Law Trade Secrets Credit Suisse Tortious Interference BATS Female FCI Beaumont FCI Judgment expungement Reverse Life Insurance Christian Stanley Outside Accounts Circuit Court Investor Alert Argentina Counterclaim Stipulated Award Congress Fine Administrative Remedies TSSB Mother 401(k) Moore Verbal Discretion Dell Oral Discretion Hospital Margin Call Commissioner Stein Netschi Lincoln Financial Feigenbaum Stockbroker Investment Adviser Sharemaster Prime Bank FCPA Permanent Bar EDNY Stephen A. Kohn Enforcement Excessive Trading Goble Password Dinner Reason for Termination Wanger Silver NML 1Cir Nationwide MBS Google Short Sale Pruco Compromise Apartment Bank Guarantee Martin Martoma Nasdaq Newport Coast Securities Wires Wire Transfers Initials iPhone Resignation Supervisor SEC Rules of Practice Stop Loss Subway Conflicts Turbeville Evidence Taxes Practice Sale Counterfeit Checking Mattera Wages Retired Woman With Cane McCartney Tennis Court Kennedy Preet Bharara Escrow Undercover Compliance Questionnaire Settling Away Trainee Fee Data Laser Varney Puts Disparate Treatment Rule 13200 Springsteen 8210 JPM ADR Wells Fargo Advisors Money Market David Lerner Jon Corzine Scam Expert Witness Reverse Merger FDA US Airways Cellphone SD Jennifer Tarr LLC Cold Spring Advisory Group Motion Obamacare Texas State Securities Board Johnson Manifest Disregard GAP CD Collateral Bar Municipal Advisor NRSRO Sharing Agreement Retroactive Bar God Subpoena FNI Media NYG Capital Retroactive Bartko Falsification Motion To Dismiss BrokeAndBroke AXA Aegis Frumento S&P Trader Summary Judgment Obstruction Books and Records Constitution Reuters Elder Fraud Public Interest Undertaking Relevant 17a-5 Stock Promotion Eric Stein Outside Counsel In House Counsel Branch Manager Proctor Personal Information Lek Chevron Fourth Amendment AWC. FINRA Hugh Hewitt Annual Audit Cannabis Expense Gabelli Test Center FMLA Theft Bill Singer BrokeAndBroker Withdrawals DWI Advisor Placement Group BBVA Merger AAA Death Regulation S-P PAQ Joint Account BIll Singer Flash Drive Impersonator FINRA Board Father Credit Repair Trading BitTorrent Constructive Discharge Disciplinary History Currency Promoter Liquidation CDO Compliance Officer Attorneys\' Fees Anderson Cherry Picking Oilpro FINRA Small Firm Lee Kent Merrill Salman Customer Files Pacifico Non-Prosecution Agreement Fines Blank Forms Texting Mary Jo White Fiero Exhaustion Doctrine Pension false statements Tran Executrix Books And Records Rules of Practice BrokeAndBroker.com Blog NFA Countrywide Cybercrime Kenneth Starr Reform AIG FTC Brokeandbroker.com Mistake Collateral SIPC 9th Circuit Electronic Communications Lewis Carroll Statute of Limitation Costa Rica Spoliation Altered Records Turnover Criminal PIABA CMO Tipper CRS Bribe Securities and Exchange Commission Regulation Chase Bank Attorneys Fees Payroll RRBDLAW Boyland Finra Murray Federal Reserve Bill singer Mary Schapiro BrokeandBroker.com Tippee Hertz Office of Special Counsel Fiduciary Duty Immunity Non Solicitation Customers Broy Ethics Lawyers Walter Rule 420 Sex Koval Skimming Rule 9552 Standing Naskovets Schumer Grievance Privilege Dow Quasi Governmental VXX Rule 4513 Diabetes Fee Galleon Spam Sexual Discrimination House Financial Services 1099 Selling Away Leveraged ETFs Puerto Rico Excel Solomon