EMPLOYMENT TUESDAY at BrokeAndBroker.com

May 6, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: stockbrokers, advisors, lawyers, regulators, compliance officers, and 
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TODAY'S FEATURED JOBRegistered Representative, Trustmont Group

Trustmont Group is an independent Broker/Dealer and RIA firm looking to add experienced Registered Reps to our family. This is a 1099 situation.

If you are looking to become a breakaway broker we could be a great fit for you. If you are already an independent Registered Representative you will be a great fit. The RIA will custody your client accounts with TD Ameritrade and the Broker/Dealer has a clearing agreement with RBC Correspondent Services. 

We allow dual registration which provides you with the opportunity to do what you feel is in the best interest of your client. We do not have any proprietary products and allow you to be an independent financial professional. Your payout will be the same no matter what your business mix is. The payout is based on total production not specific products.

We are looking to add Registered Representatives to our family that currently produces a minimum of $100,000 annually. We have branch offices in multiple states and will continue to add offices or there may be an opportunity to join an existing office.

Series 6/7 and 63

You must have the ability to transfer your current book of business/assets to the Trustmont Group.

May 04Financial ServicesOperations & Compliance DirectorAIGSan Diego, CA

required. * Knowledge of compliance for financial services industry. * Knowledge of ... preferred. Knowledge of compliance for financial services industry helpful. #LI-CL1... more

May 02Financial ServicesRepresentative I, Georgetown, FSR 1TD BankWashington, DC

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... Banking*Auto req ID:* 54345BR*Job Title:* Financial ServicesRepresentative I,... more

May 02Financial ServicesRepresentative I - Holly HillTD BankDaytona Beach, FL

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... req ID:* 54073BR*Job Title:* Financial Services Representative I - Holly... more

May 01Financial Sales Professionals- Entry Level orExperiencedAXA AdvisorsEdison, NJ

address their financial goals through financial strategies, investment services and ... of one of the nation's leading financial services firms. As an AXA Advisorsfinancial... more

May 01Financial Services Rep - Juno BeachTD BankNorth Palm Beach, FL

Customer Service Representative - Financial Service Representative In-Training ... req ID:* 52396BR*Job Title:* Financial Services Rep - Juno... more

May 04Financial Adviser - Wealth ManagementING FinancialPartnersTysons Corner, VA

Key words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, ... Investment Sales, Registered Representative, Investment AdvisorFinancial... more

May 01Stockbrokers - New IndustryEverest Merchant ServicesNew York

aggressive in either financial services, wealth management, financial at a superior ... management, financial advisors, consultants, asset planning, portfolio management... more

May 03Branch Financial Advisor(161309)PNCSouthgate, MI

affluent marketplace. As a Branch Financial Advisor, you immediately become an important ... As a Branch Financial Advisor, your challenge is to cultivate and growfinancial planning... more

May 03Financial Planning & AnalysisAdvisor PBM (159570BR)CVS CaremarkNorthbrook, IL

include Prepare and present monthly financial results and forecast including ... in operations and translate to financial impact. Work effectively and... more

May 03Branch Financial Advisor(159115)PNCBloomfield, MI

affluent marketplace. As a Branch Financial Advisor, you immediately become an important ... As a Branch Financial Advisor, your challenge is to cultivate and growfinancial planning... more

May 03Branch Financial Advisor(169008)PNCRoyal Oak, MI

affluent marketplace. As a Branch Financial Advisor, you immediately become an important ... As a Branch Financial Advisor, your challenge is to cultivate and growfinancial planning... more

May 03Branch Financial Advisor(161311)PNCLapeer, MI

affluent marketplace. As a Branch Financial Advisor, you immediately become an important ... As a Branch Financial Advisor, your challenge is to cultivate and growfinancial planning... more

May 02Sr Financial AdvisorUnionbanc Investment ServicesUnion BankFremont, CA

include: Profiles clients by obtaining financial information and suitability ... Requires extensive financial analysis review of the client's financial statements and asse...more

May 02Financial Advisor UbisUnion BankGoleta, CA

include: Profiles clients by obtaining financial information and suitability ... Requires extensive financial analysis review of the client's financial statements and asse...more

May 01Financial Advisor Unionbanc Investment Services - Westgate & Stevens CreekUnion BankSan Jose, CA

include: Profiles clients by obtaining financial information and suitability ... Requires extensive financial analysis review of the client's financial statements and asse...more

May 01Merrill Lynch FinancialAdvisor Program (Business Developer) - LouisvilleBank of AmericaPikeville, KY

will be compensated in accordance with the Financial Advisor Incentive Compensation ... follow their passion of becoming a Financial Advisor. Qualifications Candidate... more

May 01Merrill Lynch FinancialAdvisor Program (Business Developer) - Louisville, KYBank of AmericaCharleston, WV

will be compensated in accordance with the Financial Advisor Incentive Compensation ... follow their passion of becoming a Financial Advisor. Qualifications Candidate... more

May 04Retail Sales ConsultantAT&TMadison Heights, MI

commission. Our current full-time Retail Sales Consultants earn an average of ... facing/sales experience preferred. Retail Sales Consultants are paid a competitive...more

May 03BRANCH FINANCIAL SALESCONSULTANT II - Wauconda - Bilingual Spanish Sp (183356)PNCWauconda, IL

As a PNC Branch Financial Sales Consultant II, you'll join a successful retail banking ... sales and customer service experience in a financial services, sales or retail...more

May 03BRANCH FINANCIAL SALESCONSULTANT, PRICE HILL BRANCH, CINCINNNATI, OH (183197)PNCCincinnati, OH

As a PNC Branch Financial Sales Consultant I, you'll join a successful retail banking ...Sales and customer service experience in a financial services, sales or retail... more

May 03Branch Financial SalesConsultant - South Grand Branch, St. Louis, MO (183252)PNCSt Louis, MO

As a PNC Branch Financial Sales Consultant I, you'll join a successful retail banking ...Sales and customer service experience in a financial services, sales or retail... more

May 03Part Time Retail SalesConsultantAT&TDouglas, GA

commission. Our current full-time Retail Sales Consultants earn an average of ... facing/sales experience preferred. Retail Sales Consultants are paid a competitive...more

May 03Branch Financial SalesConsultant, Federalsburg, MD (164986)PNCFederalsburg, MD

As a PNC Financial Sales Consultant, you'll join a successful retail banking organization. ... service experience in a financial services, sales or retail industry is preferred. *... more

May 03Bilingual Spanish Preferred Retail Sales ConsultantLancaster PA (Park City Mall)AT&TLancaster, PA

commission. Our current full-time Retail Sales Consultants earn an average of ... facing/sales experience preferred. Retail Sales Consultants are paid a competitive...more

May 01Treasury Services SalesConsultant IIBOK FinancialFort Worth, TX

and communities The Treasury Services Sales Consultant II responsibilities include ... services. * Develops and executes sales presentations for customers/prospects...more

May 05Financial ServicesRepresentativePridestaffHouston, TX

R efers and/or cross sell s companys products and services in order to meet monthly produc ... and actively cross-sell all products/services to meet monthly production goals. more

May 05Financial ServicesRepresentativeModern Woodmen of AmericaLake Charles, LA

to provide them information about the financial services their families could ... Additional responsibilities for the Financial Representative... more

May 05Product SupportRepresentative - FinancialServicesFiservSunnyvale, CA

Product Support Representative - Aggregation Services Customer SupportLocation:Sunnyvale, ... Customer Support organization, Web Servicestechnology, and Financial Industry... more

May 04Patient Financial ServicesRep CBO-Government A/R Mgt Med SSBanner HealthMesa, AZ

customers.Works as a member of the patient financial services team to achieve goals in ... knowledge of medical terminology and patient financial servicesprocesses normally... more

May 04Financial ServicesRepresentative / Banker - 122nd & West Center - 40 hrs/wkBank of the WestOmaha, NE

leader in global banking and financial services and one of the 6 strongest banks in ... and expertise of financial services representative.**Position Accountabilities***... more

May 03Financial ServicesRepresentativeE*TRADE FinancialAlpharetta, GA

Description**SUMMARYAs a Financial Services Representative, this person will be ... and experience*Job Title:* Financial Services Representative*Location:*... more

May 03Financial ServiceRepresentative/New Account RepresentativeSusquehanna BancsharesLawnside, NJ

has an excellent opportunity for a Financial Service Representative. In this role, you will provide top-notch customer service by building enduring relationships with our...more

May 03Financial ServicesRepresentative - PflummCommerce BankShawnee, KS

Selling all Financial products and services, assisting customers with customer service issues, solicit new business, assist in the supervision of the branch. Will have established... more

May 02Teller - Financial ServicesRepresentativeAdams Bank & TrustColorado Springs, CO

Teller - Financial Services RepresentativeWe are searching for a sales minded, positive, ... accurately, with quarterly offages Teller - Financial ServicesRepresentativeQualified... more

May 02Racine, WI-FinancialServices RepresentativeEzcorpRacine, WI

Job Responsibilities: Processes loans and extensions while maintaining all loan underwriting and scanning requirements Provides superior customer serviceEffectively communicates... more

May 02Financial ServicesRepresentative I - Holly HillTD BankDaytona Beach, FL

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... req ID:* 54073BR*Job Title:* Financial Services Representative I - Holly... more

May 01Sales Professional Business Development RepresentativeFinancial Services Assistant (1765 284367)BallwegMiddleton, WI

START YOUR AUTOMOTIVE CAREER TODAY! Ballweg Chevrolet is always on the lookout for the area's top talent. SALES PROFESSIONAL Sells and leases new and pre-owned vehicles. Paid... more

May 01Associate Financial ServiceRepresentativeE*TRADE FinancialSandy, UT

develop your career.**SUMMARYAs an Associate Financial Services Representative, this ... Objectives and goals. An Associate Financial Services Representative will perform... more

May 05Regulatory 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

May 05Administrative Assistant II - Gateway Call Center - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Administrative Assistant II opening in Rockville, MD To be considered for this... more

May 02Administrative Assistant II - Gateway Call CenterFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Administrative Assistant II opening in Rockville, MD To be considered for this... more

May 02Paralegal I, Market Regulation, LegalFinraNew York

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Paralegal I opening in New York, NY . To be considered for this position, please... more

May 02Compliance Examiner, Member RegulationFinraBoca Raton, FL

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

May 02Compliance Examiner, Member RegulationFinancial Industry Regulatory Authority (finra)Boca Raton, FL

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

May 02Regulatory Coordinator - Member Regulation, ROORFinraNew York

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

May 01Regulatory Coordinator - Member Regulation, ROORFinancial Industry Regulatory Authority (finra)New York City, 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

May 01Paralegal I, Market Regulation, LegalFinancial Industry Regulatory Authority (finra)New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Paralegal I opening in New York, NY. To be considered for this position, please... more

May 01Stockbrokers - New IndustryEverest Merchant ServicesNew York

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