EMPLOYMENT TUESDAY at BrokeAndBroker.com

March 25, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
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Mar 21Stockbroker TraineeNational SecuritiesNew York City, NY

seeks qualified candidate for a full time Stockbroker Trainee Position. Full training ... to become a Fully Licensed Stockbroker Hiring Organization: National Securities...more

Mar 11Financial 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

Mar 09Junior StockbrokerNational SecuritiesNew York, NY

National Securities is a full service brokerage firm located in downtown Manhattan. We were founded 50 years ago and currently have 40 offices across the United States and Europe. more

Mar 25Cold CallerSelect Family of Staffing CompaniesTinton Falls, NJ

Falls, NJ During the training program, the Stockbroker trainee will utilize a call list ... flexibility involved in each call. The Stockbroker trainee will utilize an online... more

Mar 24Service 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

Mar 21Equity Research Associate - Specialty Fi...Ef6982New York, NY

Job Description Opportunities exist for Research Associates to join our team in New York Macquarie Group is a global provider of banking, financial, advisory, investment and... more

Mar 19Equity Research Associate - ChemicalsEf6982Houston, TX

Job Description Opportunities exist for Research Associates to join our team in Houston Macquarie Group is a global provider of banking, financial, advisory, investment and... more

Mar 17Accounting and FinanceBcm Global Equity GroupMelville, NY

Stockbroker - Entry Level Trainee BCM Global Equity Group is a Full Service Brokerage Firm that is looking for individuals with impressive work ethic and a strong desire to...more

Mar 17Financial AdvisorStockbrokerEdward JonesTupelo, MS

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

Mar 15Financial AdvisorCaldwell International SecuritiesBrooklyn, NY

 Seeking qualified Series 7 licensed candidates for a full time position. You will have the opportunity to work along side with and learn from seasoned veterans of the industry. more

Mar 15Financial Adviser - Wealth ManagementING Financial PartnersJersey City, NJ

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

Mar 14Equity Research Associate - Chemicals (00749714)Macquarie HoldingsHouston, TX

* Back to Search Results * Next * Previous Equity Research Associate - Chemicals * Salary: Competitive * Location: Houston < TX < USA * Job Type: Permanent, Full time *... more

Mar 13Office ManagerHebeler FinancialClearwater, FL

 Previous experience working for stockbroker or life insurance agent a plus.  Must be computer savvy, know powerpoint, energetic, outgoing personality, great phone personality,... more

Mar 12StockbrokerBcm Global Equity GroupMelville, NY

About UsBCM Global Equity Group is a Full Service Brokerage Firm that is looking for individuals with impressive work ethic and a strong desire to succeed. You will be working... more

Mar 11FINRA Legal Extern UnpaidFinraPhiladelphia, PA

We Work to Protect Investors. Join our Team.FINRA is seeking well qualified individuals for ourLegal Extern Department of Enforcement opening in Philadelphia, PA. To be considered... more

Mar 08Financial 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

Mar 07Donor Services AssociateNew England Baptist HospitalBoston, MA

the information received via phone call from stockbroker, confirms gift value, records and acknowledge gift, and tracks the receipt of the proceeds check Prepares acknowledgment... more

Mar 06Stock 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

Mar 05Stockbroker/Account ExecutiveDMG SecuritiesGreat Falls, VA

Position Available - Stockbroker/Account Executive This sales position entails building an ... as well as careeropportunities as a stockbroker with our firm. Individuals will have... more

Mar 04STOCKBROKERDMG SecuritiesGreat Falls, VA

STOCKBROKER RecentCollege Graduates DMGSECURITIES, INC., member FINRA, SIPC. Full service broker. Personalizedin-house training. Lucrative payout schedule. Entry Level/All Majors. more

Mar 24Service Center StockbrokerRecruit Gaap StaffingRiverside, MO

Recruit GAAP Staffing 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... more

Mar 19FINRA Legal Intern, EnforcementFinancial Industry Regulatory AuthorityBoca Raton, FL

Title: FINRA Legal Intern, Enforcement - Boca Raton, FLLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer Internship ProgramFINRA is... more

Mar 19Vice President & Deputy, Sales Practice - NY, NY or other FINRA office locationFinancial Industry Regulatory AuthorityNew York, NY

Title: Vice President & Deputy, Sales Practice - NY, NY or other FINRA office locationLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.FINRA is... more

Mar 19Insurance Agent - Insurance Sales (Finance/Business Management/Sales/Business Owner/FINRA/Insurance Licensed)Baltimore Agency Point FarmersOwings Mills, MD

Job Description Farmers is currently recruiting for three different career opportunities: 1. Retail Agency Program: Successful candidates will be well capitalized Turn-key system... more

Mar 19Anticipated Investment Customer Service Rep I - Broker Service Center -FINRA Series 7 Required - ChicagoJPMorgan ChaseIllinois

Anticipated Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-140028510 Job Description Chase Investment Services - Customer... more

Mar 17Financial AdvisorStockbrokerEdward JonesTupelo, MS

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

Mar 14StockbrokerBcm Global Equity GroupMelville, NY

About Us BCM Global Equity Group is a Full Service Brokerage Firm that is looking for individuals with impressive work ethic and a strong desire to succeed. You will be working... more

Mar 11FINRA Legal Intern, OGC CPAGFinraWashington, DC

We Work to Protect Investors. Join our Team.2014Summer Internship ProgramFINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the... more

Mar 05Stockbroker/Account ExecutiveDMG SecuritiesGreat Falls, VA

DMG Securities, Inc. is a full-service investment bankingand securities brokerage firm. We are an experienced group of highly motivatedprofessionals dedicated to providing the... more

Mar 04STOCKBROKERDMG SecuritiesGreat Falls, VA

STOCKBROKER RecentCollege Graduates DMGSECURITIES, INC., member FINRA, SIPC. Full service broker. Personalizedin-house training. Lucrative payout schedule. Entry Level/All Majors. more

Mar 04Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San AntonioJPMorgan ChaseTexas

Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage Services - San Antonio, TX-140021829 Job Description Chase Investment Services - Customer Service... more

Mar 04Investment Services Customer Service Rep (FINRA Series 7 & 63) - Brokerage ServicesJPMorgan ChaseSan Antonio, TX

Chase Investment Services - Customer Service Representative I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group... more

Mar 24Regulatory Coordinator - Member Regulation, Sales Practice - Atlanta, GA (00761463)FinraAtlanta, GA

* Back to Search Results * Next * Previous Regulatory Coordinator - Member Regulation, Sales Practice - Atlanta, GA * Salary: Competitive * Location: Atlanta < GA < USA * Job... more

Mar 24District Director - Member Regulation, Sales Practice - Woodbridge, NJ (00761457)FinraWoodbridge, NJ

* Back to Search Results * Next * Previous District Director - Member Regulation, Sales Practice - Woodbridge, NJ * Salary: Competitive * Location: Woodbridge < NJ < USA * Job... more

Mar 24Regional Counsel, EnforcementFinancial Industry Regulatory Authority (finra)Boca Raton, FL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regional Counsel opening in Boca Raton, FL. To be considered for this position,... more

Mar 24Regulatory Analyst - Market Regulation, Market Manipulation Investigations - Rockville, MD (00761328)FinraRockville, MD

* Back to Search Results * Next * Previous Regulatory Analyst - Market Regulation, Market Manipulation Investigations - Rockville, MD * Salary: Competitive * Location:...more

Mar 21Stockbroker TraineeNational SecuritiesNew York City, NY

Publicly traded full service brokerage firm that has been in business since 1947 seeks qualified candidate for a full time Stockbroker Trainee Position. Full training and...more

Mar 19Anticipated Investment Customer Service Rep I - Broker Service Center -FINRA Series 7 RequiredChaseChicago, IL

Chase Investment Services - Customer Service Representative I The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined group... more

Mar 17Compliance/Asset Mgmt/Marketing Materials/SEC & FINRA rulesNew York, NY

Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Compliance Officer to join their team.  Work for an exciting company within a fast-paced... more

Mar 14Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515) (00707779)FinraChicago, IL

* Back to Search Results * Next * Previous Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515) * Salary: Competitive * Location: Chicago <... more

Mar 14Regional Counsel, Enforcement - Los Angeles, CA (Job Number: 003031) (00753932)FinraLos Angeles, CA

* Back to Search Results * Next * Previous Regional Counsel, Enforcement - Los Angeles, CA (Job Number: 003031) * Salary: Competitive * Location: Los Angeles < CA < USA * Job... more

Mar 14Investigator II, Corporate Financing - Rockville, MD(Job Number: 003175) (00753930)FinraRockville, MD

* Back to Search Results * Next * Previous Investigator II, Corporate Financing - Rockville, MD(Job Number: 003175) * Salary: Competitive * Location: Rockville < MD < USA * Job... more

Mar 14Associate Director, Risk Management - Washington, DC or New York, NY(Job Number: 003150) (00744788)FinraWashington, DC

* Back to Search Results * Next * Previous Associate Director, Risk Management - Washington, DC or New York, NY(Job Number: 003150) * Salary: Competitive * Location: Washington... more

Mar 14Compliance Examiner - Member Regulation, Membership Application Program - New York, NY( Job Number: 002710) (00688919)FinraNew York, NY

* Back to Search Results * Next * Previous Compliance Examiner - Member Regulation, Membership Application Program - New York, NY( Job Number: 002710) * Salary: Competitive *... more

Mar 14Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002530) (00697218)FinraNew York, NY

* Back to Search Results * Next * Previous Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002530) * Salary: Competitive * Location: New York... more

Mar 14Deputy District Director, Member Regulation Sales Practice - Boca Raton, FL(Job Number: 003219) (00751427)FinraBoca Raton, FL

* Back to Search Results * Next * Previous Deputy District Director, Member Regulation Sales Practice - Boca Raton, FL(Job Number: 003219) * Salary: Competitive * Location:... more

Mar 14FINRA 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

Mar 13US only-Branch AuditorsFINRA-SECTemporary ContractBaltimore, MD

I am looking to hire auditors with experience with SEC or FINRA compliance audits. US ONLY. You will be assigned local branch offices to audit, so travel will be limited. Typical... more

Mar 11Financial 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

Mar 09Junior StockbrokerNational SecuritiesNew York, NY

National Securities is a full service brokerage firm located in downtown Manhattan. We were founded 50 years ago and currently have 40 offices across the United States and Europe. more

Mar 05FINRA / Securities Litigation Associate AttorneyAtticus RecruitingChicago, IL

Our client, a full-service, AM100 and NLJ top 50 law firm, seeks a FINRA / Securities litigation associate attorney for its Chicago office: Requirements: JD from a top law school... more

Mar 05Financial Analyst -- FINRASpherion StaffingSomerset, NJ

Financial Analyst - Advanced Our large insurance corporate client, in Somerset, NJ, has 3 short-term temporary positions available for Advanced Financial AnalystsMUST HAVE: FINRA... more

Mar 05Financial Analyst (FINRASeries 7 & 24)Metasys TechnologiesSomerset, NJ

Metasys Technologies, Inc. (MTI) an Atlanta-based company works with large and mid-market organizations around the world. By consistently delivering high quality programs,... more

Mar 04AttorneyFinra (financial Industry Regulatory Authority)Columbia, SC

Job Summary: The Attorney works primarily on internal appeals of FINRA disciplinary actions. This work requires excellent writing and analytical skills and involves interpreting... more