EMPLOYMENT TUESDAY at BrokeAndBroker.com

May 27, 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 
back-office staff.
  

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May 26Experienced FinancialService RepresentativeMetLife FinancialGroup of Upstate New YorkSyracuse, NY

Title Experienced Financial Services Representative Approved By LOB Department ... Market Leader Summary of Responsibilities An Experienced Financial ServicesRepresentative... more

May 25Financial ServicesRepresentative I, Silver Spring, Full TimeTD BankSilver Spring, MD

Job Description The Financial Services Representative FSR acts as an Insurance licensed ... Retail Banking Auto req ID BR Job Title Financial Services RepresentativeI Silver... more

May 23Financial ServicesRepresentative I - Riverplace - Part TimeTD BankJacksonville, FL

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... Banking*Auto req ID:* 55887BR*Job Title:* Financial ServicesRepresentative I -... more

May 21Financial ServiceRepresentative TraineeScottradeSt Louis, MO

Financial Service Representative Trainee - St. Louis, MOJob ID: ... customers regarding Scottrade accounts, services, product, fees, website and branch... more

May 21Financial ServicesRepresentative (Teller)Alliance Credit UnionSan Jose, CA

Financial Services Representative (Teller)Alliance Credit Union, a leading Silicon Valley ... is seeking an experienced Financial Services Representative (Teller) to join our dynamic... more

May 21Lead Client Service Rep / 270155Broadridge FinancialSolutionsWest Mifflin, PA

financial services industry. Broadridge's services include investor communications, ... and to be flexibleKnowledge of the financial services and asset management... more

May 20Financial ServicesRepresentativeState Farm InsuranceFort Mitchell, KY

Financial Services RepresentativeState Farm Agent Team Member (Base Salary + ... from the unexpected and transform financial dreams into realities. As part of this...more

May 20Insurance and FinancialServices SalesRepresentativeState Farm InsuranceFort Mitchell, KY

Insurance and Financial Services Sales RepresentativeState Farm Agent Team Member (Base ... from the unexpected and transform financial dreams into realities. As part of this... more

May 19Customer Financial ServicesRepresentative: Media (Consultant) JobBloombergNew York City, NY

Customer Financial Services Representative: Media (Consultant)**Job Requisition Number:** ... Company:**Bloomberg, the global business and financial information and news leader, gives... more

May 19Member ServiceRepresentativeMarine Credit UnionLa Crescent, MN

career? If you are experienced in Sales, Financial Services, or Customer Service and ... needs, and cross-selling products and services. The Member ServiceRepresentative... more

May 15Customer Service / Associate Contact CenterRepresentative (34732BR)First DataBennington, NE

TeleCheck® Electronic Check Acceptance Services, MoneyNetwork® Payroll Distribution, ... banking solutions, world-class security services like our new TransArmorsm STAR®... more

May 14Customer ServiceRepresentative (Call Center)Power Home TechnologiesMooresville, NC

Customer Service Representative/ Call Center Representative (Call Center) Job Responsibili ... Service Representative/ Call Center Representative (Call Center) Our Call Center... more

May 12Lewisville-Financial ServicesRepresentative / CustomerServiceTexas EzmoneyLewisville, TX

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

May 10Architectural InformationServices RepresentativeGaf MaterialsPort Arthur, TX

its customers. GAF has sustained a strong financial and operating performance over the ... of an experienced Architectural Information Services Representative. Specific... more

May 09Customer Service / Associate Contact CenterRepresentative (35762BR)First DataSouth Bend, NE

TeleCheck® Electronic Check Acceptance Services, MoneyNetwork® Payroll Distribution, ... banking solutions, world-class security services like our new TransArmorsm STAR®... more

May 08Finance Services ConsultantPenske Automotive GroupWarwick, RI

an experienced, professional and motivated Financial Services Consultant to join our ... at Inskip's Warwick Automall.As an Financial Services Consultant, you are responsible for... more

May 26Experienced FinancialService RepresentativeMetLife FinancialGroup of Upstate New YorkSyracuse, NY

Title Experienced Financial Services Representative Approved By LOB Department ... Summary of Responsibilities An Experienced Financial Services Representative EXP is an... more

May 25Financial ServicesRepresentative I, Silver Spring, Full TimeTD BankSilver Spring, MD

Job Description The Financial Services Representative FSR acts as an Insurance licensed ... Retail Banking Auto req ID BR Job Title Financial Services RepresentativeI Silver... more

May 24Customer and FinancialService RepresentativeSusquehanna BancsharesEphrata, PA

a Full time Customer Service Representative/Financial Service Representative. A CSR/FSR fills the role and responsibilities of both a Teller and Sales Representativedepending on... more

May 24New AccountsRepresentativeFinancialServices RepresentativeJobtracksLos Angeles, CA

a New Accounts RepresentativeFinancial Services Representative for a prominent Bank ... opening accounts, cross selling products and services, and making referrals. Provides... more

May 23Financial ServicesRepresentativeFirst Citizens BankGreensboro, NC

involvement. The Financial Services Representative I is responsible for ... aFinancial Services Representative I or a Financial Services Representative II based on... more

May 23Financial ServicesRepresentative, ThorntonBank of the WestDenver, CO

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 23Financial ServicesRepresentative I - Riverplace - Part TimeTD BankJacksonville, FL

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... Banking*Auto req ID:* 55887BR*Job Title:* Financial ServicesRepresentative I -... more

May 23New Accounts/FinancialServices RepresentativeCentral Valley Community BankFresno, CA

customers with related services. Perform financial profiling and propose appropriate ... benefits of appropriate branch products and services. Generate referrals based upon... more

May 22Financial ServiceRepresentative - Southdale BranchBank of the WestDes Moines, IA

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 22Financial ServicesRepresentative/Personal BankerSignature BankMinnetonka, MN

Start or continue your banking career as a Financial Services Representative - it could ... customers abreast of all bank products and services.Nurture long-term client... more

May 22Customer Financial ServicesRepresentative- Consultant Position JobBloombergNew York City, NY

Customer Financial Services Representative- Consultant Position**Job Requisition Number:** ... seeking an enthusiastic Customer Financial Services Representativeto join the... more

May 21Financial ServiceRepresentative TraineeScottradeSt Louis, MO

Financial Service Representative Trainee - St. Louis, MOJob ID: ... customers regarding Scottrade accounts, services, product, fees, website and branch... more

May 21Financial Services RepBilingual - Spanish/English - Madison, WI JobU.S. CellularMadison, WI

Financial Services Rep Bilingual - Spanish/English - Madison, WI-FIN000304 Responsible for ... customer inquiries and issues related to Financial Services or general service... more

May 21Financial Services Rep IFirst Tennessee BankFranklin, TN

Travel is required to support any of our Financial Centers within Middle TN. Develop ... to other departments as appropriate. FINANCIAL CENTER HOURS:Monday - Thursday;... more

May 20Financial ServiceRepresentative Steck CenterUniversity Federal Credit Union (ufcu)Austin, TX

to multi-task while performing detailed financial transactions.* Initiative to learn ... sales skills. Must be able to sell financial products and services.* May be... more

May 20In-Store Financial ServicesRepresentative 1, 2 or 3- Orlando Airport BranchSunTrust BanksOrlando, FL

In-Store Financial Services Representative 1, 2 or 3- Orlando Airport Branch-262602 ... Client Service Specialist, or In-Store Financial Services Representative at SunTrust,... more

May 19Commercial Insurance Experience / CSR (financialdistrict) (financial district)Commercial Coverage InsuranceSan Francisco, CA

Must have an Active P&C License to Apply We are seeking a highly motivated person with a passion for the insurance industry to join our growing team. The ideal candidate has two... more

May 17Financial ServicesRepresentative II/Teller Floater - MonroeArizona State Credit UnionPhoenix, AZ

opportunity for a full-time Financial Services Representative II/Teller Floater at ... and explains available financial services such as savings and checking accounts,...more

May 16Financial ServiceRepresentativeScott Credit UnionCollinsville, MS

Financial Service Representative (Collinsville)Scott Credit Union Basic ... St.Louis Post Disptach. Category: Financial Services and Banking, Keywords: Full Time,... more

May 16In-Store Financial ServicesRepresentative 1, 2 or 3-Bilingual (Spanish)-Publix at Cobb CenterSunTrust BanksSmyrna, GA

In-Store Financial Services Representative 1, 2 or 3-Bilingual (Spanish)-Publix at Cobb ... Client Service Specialist, or In-Store Financial Services Representative at SunTrust,... more

May 11Account Services FinanceRepresentativeADT Security ServicesJacksonville, FL

Account Services Finance Representative Company Overview: The ADT Corporation (NYSE: ADT) ... members. The purpose of the Account Services Representative is to handle customer... more

May 06Financial ServicesRepresentativeButler Memorial HospitalButler, PA

FINANCIAL SERVICES REPRESENTATIVEFull TimeResponsible for insurance verification, billing ... - Pittsburg Post-Gazette. Category: Financial Services and Banking, Keywords:... 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 23Stockbrokers - 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 12Financial Adviser - Wealth ManagementING FinancialPartnersJersey City, NJ

of a financial advisor. Securities and Advisory Services offered through ING Financial... words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, Asset... more

May 23Financial AdvisorKleberg BankRobstown, TX

Advisor in Corpus Christi, TX . The Financial Advisor is responsible for providing ... regarding investment strategies. The Financial Advisor will research the market,...more

May 23Financial Advisor - Insurance & Finance / Banking Sales ConsultantModern Woodmen of AmericaIndianapolis, IN

Additional responsibilities for the Financial Advisor include: Participating in ... Additional requirements of the Financial Advisor include: College graduate... more

May 23Entry Level Financial Advisor/ Sales ConsultantChrysalis CareersEllicott City, MD

don't miss out! Apply now! Financial Advisor / Sales Consultantrequirements: ... Today! Sales Entry Level Consultant Financial Advisor Sales Consultant Advisor...more

May 23Financial Advisor - MarionAIGIndianapolis, IN

Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare ... retirement. Whether you're an experienced Financial Advisor or new to the business, you... more

May 23Financial Advisor - NapervilleAIGChicago, IL

Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare ... retirement. Whether you're an experienced Financial Advisor or new to the business, you... more

May 23Merrill Lynch FinancialAdvisor Program (Business Developer) - Cincinnati, OH & Surrounding AreaBank of AmericaMiamisburg, OH

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

May 22BRANCH Financial Advisor(182376)PNCMarietta, GA

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

May 22Financial Advisor Unionbanc Investment Services (Carlsbad, Oceanside, El Camino Real And San Luis Rey)Union BankCarlsbad, 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 21Financial Advisor IIIUSAAPhoenix, AZ

has multiple positions for Financial Advisor for our Phoenix, AZ ... as how we treat each other. As a Financial Advisor for USAA, you will proactively... more

May 21BRANCH FINANCIALADVISOR (185030)PNCAuburn, AL

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

May 21BRANCH FINANCIALADVISOR (185031)PNCFayetteville, NC

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

May 21Sr Financial AdvisorUnionbanc Investment ServicesUnion BankSan Francisco, 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 16Branch Financial Advisor - Kirkwood, MO (184788)PNCKirkwood, MO

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

May 15Sr Financial AdvisorUnionbanc Investment Services - Westgate & Stevens CreekUnion BankSan Jose, CA

Union Bank, N.A., provides an array of financial services to individuals, small ... NYSE:MTU), one of the world's largest financial organizations. In July 2013, American... more

May 14Finance Advisor Medicare D (143661BR)CVS CaremarkScottsdale, AZ

The Finance Advisor Medicare D Premium Billing will support the Employer Group Waiver Plan ... calls, analyze financial data, create financial reports, provide... more

May 14Senior Capital ManagementAdvisor (Finance)USAASan Antonio, TX

management processes. Performs complex financial reporting and analysis functions. ... Performs special studies and research/analysis of capital, financial and operational issue... more

May 02Merrill Lynch FinancialAdvisor Program (Business Developer)Bank of AmericaKennewick, WA

a full-fledged Merrill Lynch Financial Advisor (FA). PMD is a structured and ... will be compensated in accordance with the Financial Advisor Incentive Compensation...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 02Financial AdvisorUSAAAddison, TX

other. We are currently seeking talented Financial Advisor for our Addison, TX call ... July 21st. PURPOSE OF JOB The Financial Advisor helps to ensure the financial...more

May 26Compliance Examiner - Member Regulation, Sales PracticeFinancial Industry Regulatory Authority (finra)San Francisco, CA

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

May 26Associate Director, Risk ManagementFinancial 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 Associate Director, Risk Management opening in New York, NY. To be considered for... more

May 26Director I, Operations/Services, Market RegulationFinancial 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 Director I opening in New York, NY. To be considered for this position, please... more

May 25Senior Director, Emerging Regulatory IssuesFinancial Industry Regulatory Authority (finra)Washington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Director, Emerging Regulatory Issues opening in Washington, DC. To be... more

May 25Investigator II, Corporate Financing - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

May 25Associate Director, Risk Management - Washington, DC orFinancial 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 Associate Director, Risk Management opening in Washington, DC or New York, NY. To... more

May 24Associate Principal Specialist, Credit RegulationFinancial 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 Associate Principal Specialist opening in New York, NY. To be considered for this... more

May 24Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) OptionsFinancial 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 Compliance Examiner opening in New York, NY. To be considered for this position,... more

May 23Corporate Controller FINRAAppian StaffingTampa, FL

Compensation $70K to 75K• Daily management of the books including accounts payable and accounts receivable• Responsible for maintaining compliance with the FINRA standards, and... more

May 23Stockbrokers - 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

May 21Stockbrokers/Broker TraineesNew York Brokerage FirmWestbury, NY

We are currently searching for hardworking and self motivated individuals to join our newly expanded office. The role of trainee will allow the individual to work directly with... more

May 20Senior Director, Emerging Regulatory Issues - Washington, DC(Job Number: 003283) (00789319)FinraWashington, DC

* Back to Search Results * Next * Previous Senior Director, Emerging Regulatory Issues - Washington, DC(Job Number: 003283) * Salary: Competitive * Location: Washington D.C.,... more

May 20Regulatory Coordinator - Member Regulation, ROOR- New York, NY(Job Number: 003368) (00789320)FinraNew York

* Back to Search Results * Next * Previous Regulatory Coordinator - Member Regulation, ROOR- New York, NY(Job Number: 003368) * Salary: Competitive * Location: New York, NY,... more

May 19FINRA Brokerage Principal - New Orleans, LA or Melville, NYCapital OneNew Orleans, LA

Summary:Participate in the approval process for brokerage, annuity and life insurance trades. Apply consistency in decision making, thorough review of account paperwork and... more

May 19Senior Counsel (Regulatory/Capital Markets), Office of General Counsel Washington, DC(Job Number: 003260) (00767485)FinraWashington, DC

* Back to Search Results * Next * Previous Senior Counsel (Regulatory/Capital Markets), Office of General Counsel - Washington, DC(Job Number: 003260) * Salary: Competitive *... more

May 19Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002997) (00776381)FinraNew York

* Back to Search Results * Next * Previous Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002997) * Salary: Competitive * Location: New... more

May 19Public Offerings Analyst - Rockville, MD(Job Number: 003169) (00776215)FinraRockville, MD

* Back to Search Results * Next * Previous Public Offerings Analyst - Rockville, MD(Job Number: 003169) * Salary: Competitive * Location: Rockville, MD, USA * Job Type:...more

May 19Associate Principal Specialist, Credit Regulation, New York, NY(Job Number: 003341) (00782238)FinraNew York

* Back to Search Results * Next * Previous Associate Principal Specialist, Credit Regulation, New York, NY(Job Number: 003341) * Salary: Competitive * Location: New York, NY,... more

May 19Regulatory 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 19Investigator 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