EMPLOYMENT TUESDAY at BrokeAndBroker.com

July 15, 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!  
ul 15Branch Financial Advisor(152774)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

Jul 12Financial Advisor - MerrillivilleAIGMerrillville, 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

Jul 12Financial Advisor Enroller- KokomoAIGLafayette, IN

retirement. Whether you're an experienced Financial Advisor or new to the business, you ... This position reports to a Financial Advisor and District Manager that will... more

Jul 11Financial 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

Jul 10BRANCH FINANCIALADVISOR (182935)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

Jul 10BRANCH FINANCIALADVISOR (170544)PNCWilmington, DE

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 10BRANCH FINANCIALADVISOR (177289)PNCDillsburg, 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

Jul 10Branch Financial Advisor - Prairie Lakes - Noblesville, IN (178223)PNCNoblesville, IN

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 09Financial Advisor - MiamiAIGAventura, FL

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 08Financial Advisor UBIS - Carlsbad, Oceanside, El Camino Real & San Luis ReyUnion BankCarlsbad, CA

financial information and suitability information. Advises on the customized investment ... financial analysis review of the client���s financial statements and assessment of... more

Jul 08Financial Advisor UBIS - CamarrilloUnion BankCamarillo, CA

most trusted financial group.������ ��� ��� Job Summary: ... Requires extensive financial analysis review of the client���sfinancial statements... more

Jul 08Sr Financial Advisor UBISUnion BankFremont, CA

financial information and suitability information. Advises on the customized ...financial analysis review of the client���s financial statements and... more

Jul 08Sr Financial Advisor UBIS - Gilroy, Morgan Hill, HollisterUnion BankGilroy, CA

reshaping the standards of financial services. Positive impact starts here; see the change ... most trusted financial group.������ ���Selling and/or servicing... more

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 02Merrill Lynch FinancialAdvisor Program -Bank of AmericaSpokane, WA

a full-fledged Merrill Lynch Financial Advisor (FA). PMD is a structured and ... the growth and progress of our Merrill Lynch Financial Advisors. PMD offers new advisors... more

Jul 02Merrill Lynch FinancialAdvisor Program - Century City, CA Career Night 07-24-2014Bank of AmericaLos Angeles County, CA

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

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 11Associate Financial AdvisorAIGJohnson City, TN

retirement. Whether you're an experienced Financial Advisor or new to the business, you ... This position reports to a Financial Advisor and District Manager that will... more

Jul 10BRANCH FINANCIALADVISOR (170544)PNCWilmington, DE

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 10Branch Financial Advisor - O'Fallon, IL (177919)PNCIllinois

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 10BRANCH FINANCIALADVISOR (181139)PNCNew Castle, DE

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 10BRANCH FINANCIALADVISOR (180689)PNCSebastian, 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 10BRANCH FINANCIALADVISOR (163552)PNCWashington, NJ

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 10BRANCH FINANCIALADVISOR (171712)PNCBrighton, 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 10Branch Financial Advisor(150370)PNCDowners Grove, 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

Jul 10BRANCH FINANCIALADVISOR (180058)PNCManistee, 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 10BRANCH FINANCIALADVISOR (168801)PNCLa Grange Park, 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

Jul 02Merrill Lynch FinancialAdvisor Program - Ventura CoastBank of AmericaOxnard, CA

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

Jul 01Merrill Lynch FinancialAdvisor Program- Paramus, NJ & Surrounding LocationsBank of AmericaMontvale, NJ

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

Jul 01Merrill Lynch FinancialAdvisor Program - Wellesley/NewtonBank of AmericaWellesley, MA

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

Jul 01Merrill Lynch FinancialAdvisor Program- Baltimore, MD & Surrounding AreasBank of AmericaHunt Valley, MD

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

Jul 01Merrill Lynch FinancialAdvisor Program- Princeton, NJ & Surrounding AreasBank of AmericaPrinceton, NJ

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

Jul 01Merrill Lynch FinancialAdvisor Program- Short Hills, NJ & Surronding AreasBank of AmericaNewark, NJ

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

Jul 01Merrill Lynch FinancialAdvisor Trainee- Philidelphia, PA & Surrounding LocationsBank of AmericaJenkintown, PA

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

Jul 01Merrill Lynch FinancialAdvisor Program- Red Bank, NJ & Surrounding AreasBank of AmericaManasquan, NJ

a full-fledged Merrill Lynch Financial Advisor (FA). PMD is a structured and ... the growth and progress of our Merrill Lynch Financial Advisors. PMD offers new advisors... 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 01Merrill Lynch FinancialAdvisor Program- Rockville, MD & Surrounding AreasBank of AmericaBethesda, MD

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

Jul 13Financial 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 12Customer ServiceRepresentativeTitlemaxLake City, SC

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

Jul 12Financial ServicesRepresentative I / GallowayTD BankAbsecon, NJ

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurancelicensed ... req ID:* 46581BR*Job Title:* Financial Services Representative I /...more

Jul 12Financial Services RepTraineeTd-ameritradeOmaha, NE

a leading employer in financial services, we believe in building strong ... requiredKeen interest in the investment and financial services fieldsDesire to learn and... more

Jul 11Associate 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

Jul 10In-Store Financial ServicesRepresentative 1, 2 or 3-Sugar Hill PublixSunTrust BanksBuford, GA

In-Store Financial Services Representative 1, 2 or 3-Sugar Hill Publix-W400152 Description ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jul 10Sales Agent - FinancialServices RepresentativeNew York Life Insurance CompanyMelville, NY

exposure to the exciting financial services industryA stimulating ... and FinancialServices ProfessionalA licensed financial services professional is... more

Jul 10Service Center FinancialService RepresentativeTraineeScottradeSt Louis, MO

Service Center Financial Service Representative Trainee - St. Louis, MOJob ID: ... to become a licensed Financial Services Representative.Responsibilities:* Provide...more

Jul 10In-Store Financial ServicesRepresentative 1, 2 or 3 -Sugar Hill BranchSunTrust BanksBuford, GA

In-Store Financial Services Representative 1, 2 or 3 -Sugar Hill Branch-W400047 ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jul 09Financial ServicesRepresentative - CountrysideTD BankClearwater, FL

Customer Service Representative - Financial Service Representative In-Training ... req ID:* 50964BR*Job Title:* Financial Services Representative -... more

Jul 09Insurance Agency Owner - Insurance and FinancialServices - Sales/ManagementFarmers Insurance-jon RobbSchaumburg, IL

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

Jul 08Financial 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 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 03Customer ServiceRepresentativeGEICOWanamaker, 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 01Financial Services Sales RepAdvance AmericaShawano, WI

- Recommend and sell products and services to meet customer's needs.Product Knowledge - Understand the features and benefits of the new and current products so you can assist with... 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 13Regulatory Analyst - Market Regulation, Fixed Income-Agency/Corporate Bonds - 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

Jul 13Financial Operations Examiner - Market Regulation, Trading & Financial Compliance ExaminationsFinancial 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 Financial Operations Examiner opening in New York, NY. To be considered for this... more

Jul 13Risk Management Senior Specialist, Office of RiskFinancial Industry Regulatory Authority (finra)New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Risk Management Senior Specialist openings in New York, NY. To be considered for... more

Jul 12Senior Technology Manager - New York, NY or Rockville, MDFinraNew York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Technology Manager opening in New York, NY or Rockville, MD . To be... more

Jul 12Senior Technology Manager - New York, NY or 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 Technology Manager opening in New York, NY or Rockville, MD. To be... more

Jul 12Director - Technology - 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 Director opening in Rockville, MD. more

Jul 12Director - TechnologyFinraRockville, MD

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

Jul 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

Jul 11Compliance 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 10Investigator II, Corporate Financing - Rockville, MD (Job number 3491) (00814500)FinraRockville, MD

* Back to Search Results * Next * Previous Investigator II, Corporate Financing - Rockville, MD (Job number 3491) * Salary: Competitive * Location: Rockville, MD, USA * Job... more

Jul 10Regulatory Analyst - Market Regulation, Market Manipulation Investigations - Rockville, MD (Job number 3407) (00814497)FinraRockville, MD

* Back to Search Results * Next * Previous Regulatory Analyst - Market Regulation, Market Manipulation Investigations - Rockville, MD (Job number 3407) * Salary: Competitive *... more

Jul 10Stockbrokers - 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 09Compliance Examiner, Member Regulation Sales PracticeFinraSan 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

Jul 09Enforcement 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

Jul 09Marketing Analyst II - Communication ServicesFinraWashington, DC

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

Jul 09Regulatory 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 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 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