EMPLOYMENT TUESDAY at BrokeAndBroker.com

July 22, 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 19Enrolling Financial Advisor - TuscaloosaAIGBrookwood, AL

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 18Financial 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 18Financial Advisor - SavanahAIGSavannah, GA

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

Jul 18Associate FinancialAdvisor/Enroller - DaytonaAIGDaytona Beach, FL

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 18Financial AdvisorNorth Texas FinancialGroupFort Worth, TX

relationships with clients Providing financial solutions for clients through fact ... Services Representatives. Apply Now! Financial Services Representatives are independent... more

Jul 17Patient FinancialAdvisor(1400009481)St Marys Medical CenterSan Francisco, CA

and his/her family while protecting the financial interest of St. Mary's Medical ... philosophy of Catholic Healthcare West, the (Financial Advisor) at St. Mary's Medical... more

Jul 16Financial Advisor - Insurance & Finance/Banking Sales ConsultantModern Woodmen of AmericaHastings, MN

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

Jul 16BRANCH FINANCIALADVISOR (187042)PNCPinehurst, 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 16BRANCH FINANCIALADVISOR (185040)PNCMenomonee Falls, WI

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 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 15Merrill Lynch FinancialAdvisor Program -Bank of AmericaAlexandria, VA

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 15Financial Solutions AdvisorUSAATampa, FL

has multiple positions for Financial Advisor for our Brandon Area (East Tampa) ... October 27th. As a Financial Solutions Advisor (FSA) for USAA, you will proactively...more

Jul 15Merrill Lynch FinancialAdvisor Program - Charleston & Surrounding AreasBank of AmericaStatesboro, GA

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 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 - Grandview (167229)PNCColumbus, 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

Jul 09Financial AdvisorEdward Jones CanadaSunnyvale, CA

compensation and redefine your future. As a Financial Advisor, you have the opportunity ... starts with a face-to-face meeting between a financial advisor and client. We believe... more

Jul 09Experienced FinancialAdvisorEdward Jones CanadaSunnyvale, CA

what it takes to be a successful financial advisor. As one of the largest non-bank owned ... a face-to-face meeting between a financial advisor and client. We believe that building... more

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

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

Jul 08Sr Financial Advisor, Vice President - UBISUnion BankPortland, OR

reshaping the standards of financial services. Positive impact starts here; see the ... the world���s most trusted financial group. Selling and/or servicing UnionBanc Investment... 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

Jun 30Merrill Lynch FinancialAdvisor Program - Savannah & Golden IslesBank of AmericaGeorgia

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

Mar 09Investment Counselor -Financial Advisor Alt. - CamasFisher InvestmentsKent, WA

Are you a Financial Advisor or a Stock Broker looking for the next step in your career? ... You can take off your many hats as a Financial Advisor and become an 

Jul 21Service Center FinancialService RepresentativeTraineeScottradeWestminster, CO

Service Center Financial Service Representative Trainee - Westminster, CO Job ID: ... while training to become a licensed Financial Services Representativemore

Jul 21Email / Chat Service CenterFinancial ServiceRepresentativeScottradeSt Louis, MO

Email / Chat Service Center Financial Service Representative - St ... platforms, investment products and services including stocks and options, bonds... more

Jul 21Service Center FinancialService RepresentativeScottradeWestminster, CO

Service Center Financial Service Representative - Westminster, CO Job ID: 20141606-9202 ... platforms, investment products and services including stocks and options, bonds... more

Jul 21Financial ServicesRepresentative - CountrysideTD BankClearwater, FL

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

Jul 21Patient ServicesRepresentativeCRC Health GroupTucson, AZ

than a drug treatment facility, it is multi-licensed to facilitate healing for ... Finance department. The Patient Services Representative is responsible for ensuring... more

Jul 20Universal Financial ServicesRepresentative - (Genesee St) NBerkshire BankNew Hartford, NY

071414.UFSR.GS.NH.CNY Job Title Universal Financial Services Representative - (Genesee ... and selling financial products and services. * Demonstrates excellent customer service... more

Jul 19Financial Services Manager Fiat South Bay (2014-12867)AutoNationHawthorne, CA

performance of a Financial Services Manager is measured by ... a Financial ServicesManager role. Opportunities may include: * Financial Services... more

Jul 18Customer ServiceRepresentativeTitlemaxMyrtle Beach, SC

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

Jul 18Financial Services Rep, Ballston, FTTD BankArlington, VA

Job Description The Financial Services Representative (FSR) acts as an Insurancelicensed ... communication skills * Customer Services Representative experience helpful *... more

Jul 17Licensed Customer ServiceRepresentitive - FinancialServicesWillis ConsultingSan Mateo, CA

Licensed Customer Service Representitive - Financial Services - RegisteredRepresentative ... Client Relationship Manager - Financial Services - RegisteredRepresentative - Series... more

Jul 16Financial ServicesRepresentativeFireseedsBirmingham, AL

Industry: Financial Services/ Wealth Management Growth: Revenue Increase Ten Fold Since 20 ... We are currently looking for two Financial Services/ Wealth Management Sales... more

Jul 16Financial Services Manager-Entry Level Insurance/Finance/RecruiterModern Woodmen of AmericaOgden, UT

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 16Insurance Sales Rep -Financial Services SalesWestern and Southern LifeLouisville, KY

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

Jul 15Financial Services Manager (2014-12199)AutoNationTorrance, CA

experience in Automotive Financial Services * High School diploma or ... a FinancialServices Manager role. Opportunities may include: * Financial Services... more

Jul 15Financial Services Manager Nissan South Bay (2014-11388)AutoNationHawthorne, CA

performance of a Financial Services Manager is measured by ... a Financial ServicesManager role. Opportunities may include: * Financial Services... more

Jul 15Entry Level, FinancialServicesNew York Life Insurance CompanyWest Des Moines, IA

Financial advisor, financial planner, financial counselor, financial analyst, Insurance ... financial sales, agent, financial rep, financial representativefinancial... 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 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 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 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 21Financial RepresentativeFidelity InvestmentsNaperville, IL

career. Position Description The Financial Representative acts as first point of ... products and services. The Licensed Financial Representative (LFR) services the...more

Jul 20Financial 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

Jul 18Financial Representative - Rancho BernardoFidelity InvestmentsSan Diego, CA

career. Position Description The Financial Representative acts as first point of ... products and services. The Licensed Financial Representative (LFR) services the...more

Jul 18Financial ServicesRepresentativeNorth Texas FinancialGroupFort Worth, TX

support to reach their full potential in the financial services industry. This ... and technology specialists. In-house financial planning department and state of the...more

Jul 16Financial Clear Unit Rep .. 1018786 0013589Nyu Langone Medical CenterNew York City, NY

exciting opportunity to join our team as a Financial Clearance Unit Rep in the ... all pertinent patient demographics and financial information to properly record... more

Jul 15Financial Representative - Sugar LandFidelity InvestmentsTexas

career. Position Description The Financial Representative acts as first point of ... products and services. The Licensed Financial Representative (LFR) services the...more

Jul 10Financial Representative - WayneFidelity InvestmentsNew Jersey

career. Position Description The Financial Representative acts as first point of ... products and services. The Licensed Financial Representative (LFR) services the...more

Jul 09Affluent FinancialRepresentativeFidelity InvestmentsGreenwood Village, CO

and 63 (required) * 2-3 years of previous financial services experience Skills and ... knowledge and understanding of general financial planning concepts * Proven customer... more

Jul 08Consumer Lending SalesRepresentative OneMainFinancial Virginia Beach FLCitiVirginia Beach, VA

Description Description OneMain Financial provides personal loans with ... and a continued relationship with OneMain Financial -Work as an individual contributor...more

Jul 07Financial Representative - Orland ParkFidelity InvestmentsChicago, IL

career. Position Description The Financial Representative acts as first point of ... products and services. The Licensed Financial Representative (LFR) services the...more

Jul 04Consumer Lending SalesRepresentative OneMainFinancial St AnthonyCitiSaint Anthony, MN

Description Description OneMain Financial provides personal loans with ... and multiple payment options. The OneMain Financial corporate office is in Baltimore,...more

Jul 04Consumer Lending SalesRepresentative OneMainFinancial HollywoodCitiLos Angeles County, CA

Description Description OneMain Financial provides personal loans with ... and multiple payment options. The OneMain Financial corporate office is in Baltimore,...more

Jul 03Financial Aid RepresentativeSae Institute GroupMiami, FL

maintains and utilizes computer assisted financial aid management systems Makes ... advises students in regard to educational financial planning Maintains confidentiality... more

Jul 20Associate 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

Jul 20Investigator 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

Jul 20Risk Specialist, Office of Risk - 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 Risk Specialist opening in Washington, DC or New York, NY. To be considered for... more

Jul 20Stockbrokers/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

Jul 20Compliance Examiner - Member Regulation, Membership Application ProgramFinancial 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 Membership Application Program (MAP) of the Member... more

Jul 19Regulatory Coordinator - Member Regulation, Sales PracticeFinancial 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

Jul 19Risk Management Senior Specialist, Office of Risk - 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 Risk Management Senior Specialist opening in Washington, DC or New York, NY. To... more

Jul 19Compliance Examiner, Member RegulationFinancial Industry Regulatory Authority (finra)Atlanta, GA

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

Jul 19Enforcement Counsel - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Jul 17Senior Systems Analyst ( exp with FINRA standards is must)Datamatics Global ServicesRockville, MD

Serve as a subject matter expert for one or more business processes andor systems. Define logical specifications including business process flows and rules, systems and data... more

Jul 17Stockbrokers - 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 16Associate Developer II - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Associate Developer II opening in Rockville, MD. To be considered for this... 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 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 09Regulatory Coordinator - Member Regulation, ROOR- New York, NY(Job Number:3368) (00789320)FinraNew York City, NY

* Back to Search Results * Next * Previous Regulatory Coordinator - Member Regulation, ROOR- New York, NY(Job Number:3368) * Salary: Competitive * Location: New York, NY,... more

Jul 09Public 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 09Senior Director, Emerging Regulatory Issues - Washington, DC(Job Number:3283) (00789319)FinraWashington, DC

* Back to Search Results * Next * Previous Senior Director, Emerging Regulatory Issues - Washington, DC(Job Number:3283) * Salary: Competitive * Location: Washington D.C., DC,... more

Jul 09Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number:2997) (00776381)FinraNew York City, NY

* Back to Search Results * Next * Previous Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number:2997) * Salary: Competitive * Location: New York,... 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 09Associate Principal Specialist, Credit Regulation, New York, NY(Job Number:3341) (00782238)FinraNew York City, NY

* Back to Search Results * Next * Previous Associate Principal Specialist, Credit Regulation, New York, NY(Job Number:3341) * Salary: Competitive * Location: New York, NY,... 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