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 | |||
Search BrokeAndBroker
Related Topics
Previous Entries
-
GUEST BLOG: The Million Dollar Bottle by Aegis Frumento Esq
October 18, 2018
The Million Dollar BottleBy Aegis J. Frumento, Partner, Stern Tannenbaum & BellI reflexively thought of the movie Crazy Rich Asians when I read la... Read On
-
State Farm Stockbroker, His Relative, a Faked Insurance Policy, Travel Perks, Job Loss, and FINRA
October 17, 2018
Sometimes the majesty and detail of a scam or fraud is really, really impressive. Most of the time, however, it's all a dumbass variation on a theme t... Read On
-
Stuck Inside Of Mobile with the Holiday Inn Blues Again
October 16, 2018
On October 15, 2018, Christopher M. Tanner was sentenced in the United States District Court for the Southern District of Alabama to 18 months in pris... Read On
-
Don't Speak: The New Motto of Wall Street Compliance and Regulation
October 15, 2018
You wouldn't think that Wall Street would want to cultivate an in-house compliance protocol of "Don't Ask, Don't Tell," but a recent FINRA arbitration... Read On
-
BrokeAndBroker.com Bllog by Bill Singer Esq WEEK IN REVIEW
October 13, 2018
Customer Seeks $2 Million In Puerto Rico Bond Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4224/finra-puerto-rico-bonds/If you'v... Read On
-
Customer Seeks $2 Million In Puerto Rico Bond Arbitration
October 12, 2018
If you've been following Puerto Rico's financial crisis, you know that the Commonwealth's bonds are worth about the paper that they were printed on... Read On