EMPLOYMENT TUESDAY at BrokeAndBroker.com

July 8, 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!  

Jul 04Financial 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

Jul 03BRANCH FINANCIALADVISOR (188236)PNCBoca Raton, FL

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

Jul 02Branch 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

Jul 02BRANCH FINANCIALADVISOR (188668)PNCClayton, 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

Jul 02Branch 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

Jul 02BRANCH 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

Jul 02BRANCH FINANCIALADVISOR (188669)PNCGastonia, 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

Jul 01Associate Financial Advisor - KokomoAIGLafayette, IN

by a financial advisor and assist the advisor in servicing and growing a business ... Structure: This position reports to a Financial Advisor and District Manager that...more

Jul 01Financial Advisor - Insurance & Finance/Banking Sales ConsultantModern Woodmen of AmericaElizabeth City, NC

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

Jul 01Financial Advisor - OahuAIGHonolulu, HI

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

Jul 08Sales / Business Consultant- Chicago (36422BR)First DataCrestwood, IL

Description First Data Business Consultant Territory: Chicago Job ... relationship management and cross sales. Your sales efforts will be complemented... more

Jul 07Part Time Retail SalesConsultant Garden City KS (Ks Garden City Kansas Ave & Leslie Rd)AT&TGarden City, KS

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

Jul 07Branch Financial SalesConsultant I - Lakewood (188859)PNCLakewood, 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

Jul 07Financial Advice RegionalSales ConsultantAmeriprise FinancialMinneapolis, MN

Financial Advice Regional Sales Consultant provides subject matter expertise ... andsales.ResponsibilitiesThe Regional Sales Consultant will be responsible for... more

Jul 06Branch Financial SalesConsultant I - Ocala, Florida (188555)PNCOcala, FL

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

Jul 05Part Time Retail SalesConsultant Phoenix AZ (Desert Sky Esplanade)AT&TPhoenix, AZ

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

Jul 04Branch Financial SalesConsultant II - Orlando, Florida (188617)PNCOrlando, FL

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

Jul 04Branch Financial SalesConsultant II (188957)PNCShorewood, WI

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

Jul 03Sales / Business Consultant- Chattanooga, TN (30640BR)First DataRocky Face, GA

relationship management and cross sales. Your sales efforts will be complemented ... addition, we offer our Sales team continual formalized training and... more

Jul 03ConsultantSalesOps(267490)Kaiser PermanenteAtlanta, GA

Sales Operations functions, including sales compensation, broker metrics, sales ... and appointments, commissions, sales compensation, compliance, sales processes, GCFs,... more

Jul 02Treasury Services SalesConsultant IIBOK FinancialTulsa, OK

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

Jul 01Financial Advisor - Insurance & Finance/Banking SalesConsultantModern Woodmen of AmericaElizabeth City, NC

financial dreams. We are seeking committed Financial Advisors to offer our customers a ... Additional responsibilities for the Financial Advisor include: Participating in... more

Jul 06Financial ServicesRepresentative I (Cinnaminson)TD BankRiverton, NJ

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurancelicensed ... req ID:* 57089BR*Job Title:* Financial Services Representative I... more

Jul 03Insurance Agency Owner - Insurance and FinancialServices - Sales/ManagementFarmers Insurance-jon RobbLibertyville, IL

servicesfinancial planner, financial advisor, financial consultant, financial rep, ... Farm, Allstate, Country Financial, Sentry Insurance, American Family, AAA, Liberty...more

Jul 03Customer ServiceRepresentativeTitlemaxConway, SC

Finance LLC and Affiliates Customer Service Representative Earn up to $25K! Conway, South ... to questions or concerns about our services. The talented group of Customer Service... more

Jul 03Customer ServiceRepresentativeGEICOOaklandon, IN

Our Customer Service Representatives are licensed insurance professionals who delight ... assist our customers. As a Customer Service Representative, you will use your strong... more

Jul 03Financial ServicesRepresentativeNorthwestern MutualFarmingdale, NY

A Career with a Purpose: The Financial Representative OpportunityYou'll have the unique ... successful practice as a financial representative including: Developing your business and... more

Jul 03Collections Manager, Patient and FinancialServices(244532)Kaiser PermanentePortland, OR

Write and implement Patient Financial Services (PFS) policies to support ... Public Department Name: Patient Financial Services Travel : No Job Eligible for Benefits:...more

Jul 01In-Store Financial ServicesRepresentative 1, 2 or 3-Bilingual (Spanish) Preferred-Buford Wal-MartSunTrust BanksBuford, GA

In-Store Financial Services Representative 1, 2 or 3-Bilingual (Spanish) Preferred-Buford ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jul 01In-Store Financial ServicesRepresentative 1, 2 or 3-Florida State UniversitySunTrust BanksTallahassee, FL

In-Store Financial Services Representative 1, 2 or 3-Florida State University-W264456 ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jul 01Financial Services Manager-Entry Level Insurance/Finance/RecruiterModern Woodmen of AmericaJackson, MS

to help us build a team of successful Financial Services Representatives. Your ... to consider looking into a career as a financial services representative. Modern... more

Jul 01Financial Services Rep - Banker (Lee's Summit South)Bank of the WestKansas City, MO

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

Jul 01Float Branch CustomerService RepWebster BankWest Hartford, CT

Position Title: Float Representative Department / Location : Retail Banking Supervisor: Br ... Process. Promote alternative delivery of services and other marketing initiatives as... more

Jul 01Financial ServiceRepresentative South MoPacUniversity Federal Credit Union (ufcu)Austin, TX

The Financial Service Representative I (FSR I) is responsible for providing exceptional ... priorities while performing detailed financial transactions utilizing current UFCU... more

Jul 01Financial ServicesRepresentativeAXANew York City, NY

address their financial goals through financial strategies, investment services and risk ... services to help clients meet their financial objectives. Provide information/education... more

Jul 01In-Store Financial ServicesRepresentative 1, 2 or 3 (20 hours)-Winter Haven Wal-MartSunTrust BanksWinter Haven, FL

In-Store Financial Services Representative 1, 2 or 3 (20 hours)-Winter Haven ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jul 05Lead Systems Administrator/Engineer - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, 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

Jul 05Public Offerings Analyst - Rockville, MD(Job Number:3169) (00776215)FinraRockville, MD

* Back to Search Results * Next * Previous Public Offerings Analyst - Rockville, MD(Job Number:3169) * Salary: Competitive * Location: Rockville, MD, USA * Job Type:...more

Jul 03Regulatory Analyst - OFDMI - Insider Trading - 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 - Insider Trading opening in Rockville, MD. To be considered... more

Jul 03Public Offerings Analyst - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Jul 03Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

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

Jul 03Compliance 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

Jul 03Compliance 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

Jul 03Financial Associate IV - Financial Planning - 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 Financial Associate IV opening in... more

Jul 02Accounting Associate III - Billing ServicesFinraRockville, MD

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

Jul 01Administrative Assistant II - Market Regulation, LegalFinraRockville, 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

Jul 07Senior 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

Jul 07Senior Economist - 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 Senior Economist opening in Washington, DC or New York, NY. To be considered for... more

Jul 07Manager 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

Jul 05Financial Associate IV - Financial PlanningFinraRockville, MD

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

Jul 05Compliance 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

Jul 05Lead Developer - Technology - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, 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

Jul 05Senior Director - Market Regulation - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Jul 05Compliance Examiner-Member Regulation, Sales PracticeFinancial Industry Regulatory Authority (finra)Boston, MA

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

Jul 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

Jul 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

Jul 03Stockbrokers - New IndustryEverest Merchant ServicesNew York City, NY

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

Jul 03Regulatory Analyst - OFDMI - Insider TradingFinraRockville, MD

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

Jul 03Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) OptionsFinraNew 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

Jul 02Accounting Associate III - Billing ServicesFinraRockville, MD

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

Jul 01Administrative Assistant II - Market Regulation, LegalFinraRockville, 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