EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 3, 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.
  

Click POST A JOB and your position will be promptly listed.  
Only $50 for 30 days!  

May 30BRANCH FINANCIALADVISOR (185754)PNCPhiladelphia, PA

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 30BRANCH FINANCIALADVISOR (185752)PNCLancaster, PA

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 30BRANCH FINANCIALADVISOR (185711)PNCPhiladelphia, PA

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 30BRANCH FINANCIALADVISOR (138846)PNCEast Lansing, 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 30Branch Financial Advisor(149303)PNCBloomfield Hills, 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 30Financial Advisor - UGA, AthensAIGAtlanta, GA

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 30Merrill Lynch FinancialAdvisor Program (Business Developer) -Bank of AmericaFredericksburg, VA

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

May 29Financial Advisor - Oak Ridge/Lenoir CityAIGKnoxville, TN

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 29Financial Advisor - DurhamAIGRaleigh, NC

investment and income solutions needed for financial and retirement security. United Guaranty Corporation is the marketplace leader in mortgage insurance in the U.S. Additional... more

May 29Financial Advisor (Outbound Call Center)USAASan Antonio, TX

other. We are currently seeking talented Financial Advisor (Outbound Call Center) for ... TX facility. PURPOSE OF JOB The Financial Advisor helps to ensure thefinancial... more

May 28Financial AdvisorUSAASan Antonio, TX

currently has multiple positions for Financial Solutions Advisors for our San ... TX location. As a Financial Solutions Advisor (FSA) for USAA, you will proactively... more

May 27Sr Financial Advisor Ubis - Warner CenterUnion BankWoodland Hills, 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 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 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 23Entry Level Financial Advisor/ Sales ConsultantChrysalis CareersAnnapolis, 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 - 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 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 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

Jun 02Insurance and FinancialServices RepresentativeFarmers Insurance GroupCollinsville, IL

in sales with Farmers Insurance and Financial Solutions.Farmers Insurance is also ... excellent subsidy program. This program is financial assistance in addition to your...more

Jun 02Consumer Finance Customer Service RepresentativeExcel Finance CompanyBaton Rouge, LA

is currently seeking a Customer Service Representative in our fast paced Baton Rouge ... function in the branch. The Customer Service Representative is an entry level position... more

Jun 02Financial Services Rep - Madison, WI JobU.S. CellularMadison, WI

Financial Services Rep - Madison, WI-FIN000282 Position Profile Enthusiasm should be ... including Saturdays. Job : Financial Services Location(s) : Wisconsin-MADISON_WI... more

Jun 02Financial Services Rep I (Teller)Simmons First NationalRogers, AR

and charitable organizations General Summary Financial Services Rep duties may include but ... FSRs will be responsible for providing services at all times in an efficient and... more

Jun 02Amazon Web ServicesEnterprise SalesRepresentative (FinancialServices, New York)AmazonNew York City, NY

strategic accounts within the Financial Services industry Do you have the business ... experience Experience selling into large financial services organizations BA BS degree... more

Jun 02Financial ServicesRepresentative II (Alvernon)Arizona State Credit UnionTucson, AZ

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

Jun 02Financial Representative -Financial Services SalesWestern and Southern LifeBloomington, IN

Financial RepresentativeTitle: Insurance Representative - Financial Services ... a comprehensive and top-notch line of financial products and services.• Serve as a...more

Jun 02Financial ServicesRepresentative I (Cinnaminson)TD BankRiverton, NJ

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

Jun 01Financial ServicesRepresentativeMass MutualLos Angeles, CA

within the community? As a Financial Services Representative, you will work ... www.massmutualcareers.com/dreams Financial Services Representatives are...more

Jun 01Financial ServicesRepresentative II (Monroe)Arizona State Credit UnionPhoenix, AZ

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

Jun 01INSIDE SALESREPRESENTATIVE -Financial ServicesMonaco FinancialNewport Beach, CA

into a Very Successful Career at Monaco Financial Monaco Financial is a trusted ... www.MonacoRareCoins.com Monaco Financial, LLC Newport Beach, CA About Monaco Rare Coins:... more

Jun 01Member Support ServicesFinancial SalesRepresentativeSky Federal Credit UnionBelgrade, MT

SKY FEDERAL CREDIT UNION Financial Services Representative - Full Time - ... Category: Sales, Keywords: finance, financial services, Full Time, Location:... more

May 31Financial ServicesRepresentative- Lake GroveBank of the WestLake Oswego, OR

a European leader in global banking and financial services and one of the 6 strongest ... Working knowledge of Bank''s products andservices.**Administrative/Technical Skills***... more

May 31Financial 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 31Financial ServicesRepresentative I (Lake Pine)TD BankMedford, NJ

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... req ID:* 45761BR*Job Title:* Financial Services Representative I (Lake...more

May 30Financial ServicesRepresentativeInsightTempe, AZ

The requirements listed below are representative of the knowledge, skill, and/or ability r ... characteristics described here are representative of those an employee...more

May 28Patient RepFinancialServices - Children's HospitalVanderbilt UniversityNashville, TN

within acceptable guidelines, request a financial disclosure statement. Upon receipt, evaluate patient/guarantor assets and liabilities to determine ability to pay. c. Evaluate... more

May 27Part Time Financial ServiceRepresentativeSuffolk BankSayville, NY

needs. Refers customers for Merchant Services, alternative investments and lending ... Bank products and services.Perform basic Financial Service Representativeduties;... more

May 26Financial Service Rep - AcquisitionFifth Third BankOrlando, FL

responsibilities, working with the Customer Services Manager, to maintain the efficient ... of more specialized bank products and services to customers, so thatpersonal and... more

May 22In-Store Financial ServicesRepresentative 1, 2 or 3 (20 hours)- Briggs ChaneySunTrust BanksSilver Spring, MD

In-Store Financial Services Representative 1, 2 or 3 (20 hours)- Briggs Chaney-262824 ... Client Service Specialist, or In-Store Financial Services Representative at SunTrust,... more

May 22In-Store Financial ServicesRepresentative 2, 3 or 4- Cloverly SafewaySunTrust BanksSilver Spring, MD

In-Store Financial Services Representative 2, 3 or 4- Cloverly Safeway-262766 Description ... Service Specialist, In-Store Financial Services Representative, or Personal Banker at... more

May 22In-Store Financial ServicesRepresentative 1, 2 or 3-Palm Bay Wal-MartSunTrust BanksPalm Bay, FL

In-Store Financial Services Representative 1, 2 or 3-Palm Bay Wal-Mart-262806 Description ... Client Service Specialist, or In-Store Financial Services Representativeat SunTrust,... 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

Jun 02Compliance Examiner - Member Regulation, Sales PracticeFinancial Industry Regulatory Authority (finra)Woodbridge, NJ

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

Jun 02Senior Application Database Administrator - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. Financial Industry Regulatory Authority, Inc. ('FINRA') is filing an Application for Alien Employment Certification for the below...more

May 31Regulatory Analyst- Member Trading, 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 Regulatory Analyst opening in New York, NY. To be considered for this position,... more

May 31Consolidated Supervised Entity Examiner - Member Regulation, ROORFinraNew York

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Consolidated Supervised Entity (CSE) Examiner opening in New York, NY . To be... more

May 31Lead Developer - Technology - Rockville, MD - Contractor ConversionFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Lead Developer opening in Rockville, MD. To be considered for this position,... more

May 31Enforcement InvestigatorFinraRockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Enforcement Investigator opening in... more

May 31Customer Service Coordinator III - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Customer Service Coordinator I opening in Rockville, MD. To be considered for... more

May 31Regulatory Coordinator - Member Regulation, Sales Practice - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in our Chicago, IL, District office. To be... more

May 31Paralegal 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 31Regulatory Coordinator - Member Regulation, Sales PracticeFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in our Chicago, IL, District office. To be... more

May 30Administrative Assistant, EnforcementFinraRockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Administrative Assistant opening in... more

May 30Compliance Examiner - Member Regulation, Sales PracticeFinraNew York

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 30Senior Surveillance Developer - Technology - Rockville, MDFinraNew York

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

May 30Regulatory 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 30Stockbrokers - 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 29Sr. Data Science SpecialistFinraNew York

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Sr. Data Science Specialist opening... more

May 27FINRA Brokerage PrincipalCapital OneLouisiana

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 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 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 17FINRA Legal Extern, Enforcement (UNPAID)FinraNew York

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Legal Extern - Department of Enforcement opening in New York, NY . To be... more