EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 17, 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!  
Jun 16BRANCH FINANCIALADVISOR - Youngstown, OH (187303)PNCYoungstown, OH

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

Jun 16Branch Financial Advisor(187235)PNCChicago, IL

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

Jun 16BRANCH FINANCIALADVISOR - Franklin / Oil City, PA (187301)PNCOil City, 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

Jun 14Financial Advisor - Insurance & Finance - Banking Sales ConsultantPersonifieds&s Insurance/salesDeerfield, IL

invest, investor, financial planner, financial advisor, selling, claims, adjuster, ... certified financial planner, cfp, financial advisorfinancial services representative,...more

Jun 14Financial AdvisorPersonifieds&s Insurance/salesRocky River, OH

Wealth Advisor (Investment / Financial Services) In this important Financial Advisorrole, ... Growth opportunities and more! Wealth Advisor (Investment / FinancialServices) At... more

Jun 14Career Changer - FinancialAdvisor - Insurance &Finance - Banking Sales ConsultantPersonifieds&s Insurance/salesLake Bluff, IL

investor, financial planner, financial advisor, selling, claims, adjuster, policy, ... sales, certified financial planner, cfp, financial advisorfinancial services... more

Jun 14BRANCH FINANCIALADVISOR (186559)PNCHarrisburg, 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

Jun 14Recent College Graduate -Financial Advisor - Insurance & Finance - Banking Sales ConsultantPersonifieds&s Insurance/salesEvanston, IL

investor, financial planner, financial advisor, selling, claims, adjuster, policy, ... sales, certified financial planner, cfp, financial advisorfinancial services... more

Jun 14Financial AdvisorAXA AdvisorsOklahoma City, OK

Financial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in ... demand high quality service Financial Advisor- Entry Level or Experienced Qualifications:... more

Jun 14BRANCH FINANCIALADVISOR (186560)PNCHanover, 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

Jun 13Financial AdvisorFarmers National BankRocky River, OH

Wealth Advisor (Investment / Financial Services) In this important Financial Advisorrole, ... Growth opportunities and more! Wealth Advisor (Investment / FinancialServices) At... more

Jun 13Financial Advisor Ubis - Cerritos CenterUnion BankArtesia, 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 12Career Changer - FinancialAdvisor - Insurance &Finance - Banking Sales ConsultantPearre and AssociatesLake Bluff, IL

investor, financial planner, financial advisor, selling, claims, adjuster, policy, ... sales, certified financial planner, cfp, financial advisorfinancial services... more

Jun 11BRANCH FINANCIALADVISOR - Meadville PA (186895)PNCMeadville, 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

Jun 10Financial Advisor - Insurance & Finance - Banking Sales ConsultantPearre and AssociatesSkokie, IL

investor, financial planner, financial advisor, selling, claims, adjuster, policy, ... sales, certified financial planner, cfp, financial advisorfinancial services... more

Jun 10Recent College Graduate -Financial Advisor - Insurance & Finance - Banking Sales ConsultantPearre and AssociatesMundelein, IL

investor, financial planner, financial advisor, selling, claims, adjuster, policy, ... sales, certified financial planner, cfp, financial advisorfinancial services... more

Jun 10Entry Level Financial Advisor/ Sales ConsultantChrysalis CareersRockville, MD

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

Jun 06Financial Advisor - Entry Level or ExperiencedAXA AdvisorsRaleigh, NC

AXA Advisors, LLC, a respected leader in the financial services industry, has exciting ... professional choices. AXA Advisors' financial professionals are relationship... more

Jun 04Senior StockbrokerArjentNew York City, NY

up to $200K !!! ARJENT seeks experienced Stockbroker to join their already ... Client Base. Keywords:Finance, StockbrokerFinancial Advisor, Investment,... more

Jun 03Financial Adviser - Wealth ManagementING FinancialPartnersTysons Corner, VA

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

Jun 11Inside Sales Reps NEEDED!!!Boca Raton, FL

in financial services such as, financial advisorstockbroker, trader, or selling ... This is a perfect match. With your financial background and experience and our... more

Jun 11Inside Sales Executive-Closers Needed!Boca Raton, FL

in financial services such as, financial advisorstockbroker, trader, or selling ... This is a perfect match. With your financial background and experience and our... more

Jun 09Compliance OfficerRedmayne-bentleyLeeds, AL

assessment of suitability. * To review financial promotions prior to publication and ... including a wide range of financial investments (e.g. equities, bonds and... more

Jun 07Stockbrokers - New IndustryEverest Merchant ServicesNew York

financial services, wealth management, financial at a superior level ?? Aggressive ... to multi-task required ?? Wealth management, financial advisors, consultants, asset... more

Jun 05TRS Investment Officer 1 (Acquisitions)Albany, NY

financial markets, or analysis of financial or economic data. Specifically excluded ... products to individuals, as performed by financial advisors and... more

Jun 05Sales Representative - Inside SalesEverest Merchant ServicesNew York

experience selling aggressive in either financial services, wealth management,financial ... multi-task required Wealth management, financial advisors, consultants, asset planning,... more

Jun 16Customer 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

Jun 16Financial Representative -Financial Services SalesWestern and Southern LifeCincinnati, OH

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

Jun 16Financial ServicesRepresentative I/ North Miami 163rd StreetTD BankMiami, FL

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... Banking*Auto req ID:* 56167BR*Job Title:* Financial ServicesRepresentative I/ North... more

Jun 16Service Center FinancialService RepresentativeScottradeSt Louis, MO

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

Jun 16Financial ServicesRepresentativeFireseedsBirmingham, AL

Industry: Financial Services/ Wealth ManagementGrowth: Revenue Increase Ten Fold Since 200 ... We are currently looking for two Financial Services/ Wealth Management Sales... more

Jun 16Sr. Financial ServicesRepresentative - Bilingual Mandarin/CantoneseE*TRADE FinancialAlpharetta, GA

operational understanding of the financial services industry proactively ... FinancialServices Representative - Bilingual Mandarin/Cantonese*Location:* Alpharetta, GA...more

Jun 16Financial ServicesRepresentative - 20 Hours per week Redwood CBank of the WestRedwood City, CA

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

Jun 16Financial ServicesRepresentative, Breckenridge-38 hrsBank of the WestBreckenridge, 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

Jun 16Financial ServicesRepresentative IHudson Valley Federal Credit UnionHyde Park, NY

recruiting for a Financial Services Representative I The successful candidate ... tobaccodashfree MondaydashFriday pmdash amdash Financial ServicesRepresentative... more

Jun 16Financial ServicesRepresentative, Park MeadowsBank of the WestEnglewood, 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

Jun 16Financial ServicesRepresentative - 20 Hours per week SF UpperBank of the WestSan Francisco, CA

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

Jun 15Financial ServicesRepresentative - LGBT CommunityMass MutualWarrenville, IL

Financial Services Representative, LGBT Community Locations: Chicago & Warrenville ... Tower Financial Partners is looking for Financial ServicesRepresentatives to work... more

Jun 15Financial ServicesRepresentativeNew York LifeDublin, OH

business and stand behind your efforts.Our financial representatives receive ... plansProspect for potential clientsDiscuss financial concerns and needs of... more

Jun 14Financial ServiceRepresentativeFirst Community Credit UnionKlamath Falls, OR

available position for a Financial Service Representative in Klamath Falls, Oregon. ... TheJobNetwork - Herald and News. Category: Financial Services and Banking, Keywords:... more

Jun 14Financial ServicesRepresentativeIndependent FinancialPartnersWarwick, RI

Financial Services Representative Opportunities are currently available for individuals ... services. For over 100 years, Independence Financial Partners, a John Hancock Financial... more

Jun 13PATIENT FINANCIALSERVICESREPRESENTATIVE/COLLECTORAurora Behavioral Health SystemTempe, AZ

motivated Patient Financial Services Representative/Collector. The ideal candidate must be able to work independently and accomplish assigned tasks.RESPONSIBILITIESENSURES... more

Jun 12Tooele, UT-FinancialServices RepresentativeTexas EzmoneyTooele, UT

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

Jun 12Greeley, CO-FinancialServices RepresentativeTexas EzmoneyGreeley, CO

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

Jun 12Patient Financial ServicesRepresentative - CBONorthwest HospitalRandallstown, MD

Patient Financial Services Representative - CBO Proactively and agressively resolves assigned accounts receivables. Meets individual quality and quantity performance goals and... more

Jun 11Financial Services RepresentativeE*TRADE FinancialAlpharetta, GA

your career.As a **Financial Services Representative,**this person will be ... OPPORTUNITY EMPLOYER*Job Title:* Financial ServicesRepresentative*Location:*... more

Jun 11Financial ServiceRepresentativeFirst Bank & Trust CoDuncan, OK

for assisting customers with their financial needs and Lenders with their lending responsibilities. ESSENTIAL JOB FUNCTIONS: Greet customers entering the bank and direct... more

Jun 06In-Store Financial ServicesRepresentative 1, 2 or 3 (20 hours)-Valdosta Wal-MartSunTrust BanksValdosta, GA

In-Store Financial Services Representative 1, 2 or 3 (20 hours)-Valdosta Wal-Mart-263426 ... Client Service Specialist, or In-Store Financial Services Representative at SunTrust,... more

Jun 06In-Store Float Financial Services Representative 1 or 2-Memphis AreaSunTrust BanksMemphis, TN

In-Store Float Financial Services Representative 1 or 2-Memphis Area-263399 Description ... * Two years experience in a client service and/or financial sales experience role and/or c... more

Jun 17Analyst II - Regulatory Services & OperationsFinraRockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Analyst II, Regulatory Services &... more

Jun 16Associate 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

Jun 16Analyst II - Regulatory Services & Operations - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Analyst II, Regulatory Services &... more

Jun 13Compliance Examiner - Member Regulation, Sales PracticeFinraJericho, NY

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

Jun 12Manager III, BDOFR, Member Regulation, ROORFinraNew York City, NY

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

Jun 12Compliance Examiner - Member Regulation, Sales PracticeFinancial Industry Regulatory Authority (finra)Jericho, NY

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

Jun 12Lead Security Engineer - Rockville, MD - Contractor ConversionFinraRockville, MD

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

Jun 12Risk Specialist, Office of RiskFinancial 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 Risk Specialist opening in New York, NY. To be considered for this position,... more

Jun 12Director, Organizational DevelopmentFinraRockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Director, Organizational...more

Jun 11Senior Systems Analyst, Member Reg Technology - Rockville, MD orFinancial Industry Regulatory Authority (finra)New York City, NY

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

Jun 11Principal , SCRUM Master - TechnologyFinraRockville, MD

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

Jun 11Manager III,Broker Dealer Operations & Financial Responsibility, 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 Manager I opening in New York, NY, Rockville, MD, or Washington DC. To be...more

Jun 11Regulatory Analyst - Market Regulation, Market Manipulation Investigations - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Jun 11Senior Economist - Washington, DC orFinraNew York City, NY

We Work to Protect Investors. Join our Team. ? FINRA is seeking a well-qualified individual for our Senior Economist opening in Washington, DC or New York, NY . To be considered... more

Jun 10Principal, SCRUM MasterFinra - Financial Industry Regulatory AuthorityRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Principal, SCRUM Masrer opening (003468) in Rockville, MD. To be considered for...more

Jun 07Lead Systems Administrator/EngineerFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Lead Systems Administrator/Engineer opening in Rockville, MD . To be considered... more

Jun 04Senior StockbrokerArjentNew York City, NY

Sign-on Bonus up to $200K !!! ARJENT seeks experienced Stockbroker to join their already establishedteam in New York focusing on Equities, Bonds, Private Placements and RealEstate... more