EMPLOYMENT TUESDAY at BrokeAndBroker.com

July 29, 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 24Branch Financial Advisor - Washington North (186925)PNCWashington, 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 23Financial Advisor - TidewaterAIGNorfolk, VA

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 23BRANCH FINANCIALADVISOR (189832)PNCPinellas Park, 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 23Branch Financial Advisor - Severna Park,MD (190314)PNCSeverna Park, MD

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 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 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 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 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 08Financial Advisor, Assistant Vice President - UBISUnion BankGoleta, CA

clients by obtaining financial information and suitability information. Advises on ... sales. Requires extensive financial analysis review of the client���s financial...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 08Financial Advisor, Assistant Vice President - UBIS - Cerritos CenterUnion BankArtesia, CA

clients by obtaining financial information and suitability information. Advises on ... sales. Requires extensive financial analysis review of the client���s financial...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 28Customer Sales and ServiceRepresentative-Mortgage OriginationsUSAASan Antonio, TX

identification information, financial services related employment history, and ... worldwide by providing a full range of financial services and products. more

Jul 26Customer ServiceRepresentativeTitlemaxLexington, SC

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

Jul 26Customer ServiceRepresentative - TellerSusquehanna BancsharesHagerstown, MD

excellent opportunity for a Customer Service Representative (Teller). In this role, you will be expected to provide superior and uncompromising customer service by building... more

Jul 25Financial ServicesRepresentative I - CarrollwoodTD BankTampa, FL

Job Description The Financial Services Representative (FSR) acts as an Insurancelicensed ... req ID:* 62186BR *Job Title:* Financial Services Representative I - Carrollwood... more

Jul 25Financial Services SalesRepresentativeAtlanta, GA

of Terex equipment through Terex Financial Services. Terex uses its website ... strategies to sell equipment using financial services solutions. Develop training...more

Jul 25Financial Services Sales RepAdvance AmericaMadison, 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 25Financial Services Manager Volkswagen Las Vegas (2014-12901)AutoNationLas Vegas, NV

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

Jul 24Entry Level - FinancialServices Representative - Training IncludedNew York Life Insurance CompanyMelville, NY

Valuable exposure to the exciting financial services industry A stimulating ... andFinancial Services Professional A licensed financial services professional is... more

Jul 23Financial ServicesRepresentativeState Farm InsuranceBoca Raton, FL

to market and sell State Farm Financial Services productsRetain current ... in marketing financial productsFlexibility in schedule to... more

Jul 22Mail Services Rep IMitsubishii UFJFinancial GroupLos Angeles, CA

reshaping the standards of global financial services. Positive impact starts here; ... to become the world's most trusted financial group. Job Summary: Receive sort and...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 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 17Licensed Customer ServiceRepresentitive - FinancialServicesWillis ConsultingSan Mateo, CA

Licensed Customer Service Representitive - Financial Services - RegisteredRepresentative ... Client Relationship Manager - Financial Services - RegisteredRepresentative - Series... 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 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 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 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 14Insurance and FinancialServices RepresentativeState FarmTallahassee, FL

generating sales of insurance and financial services products through leads & referrals ... about the role insurance and financial products play in helping people...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 23Enforcement Chief Counsel - 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 Chief Counsel opening in Rockville,... more

Jul 23Compliance 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

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 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 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 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 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 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 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 18Enforcement Investigator, Case Development Team - 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 opening with our Enforcement Case Development Team in Rockville, MD. more

Jul 18Lead 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 17Regulatory User Support Analyst, 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 Regulatory User Support Analyst... more

Jul 17Vice President & Counsel, Oversight Liaison & CounselFinancial Industry Regulatory Authority (finra)Washington, DC

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Vice President & Counsel opening... more

Jul 17Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) EquitiesFinancial 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 17Financial Operations Examiner - 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 Financial Operations Examiner opening in New York, NY. To be considered for this... more

Jul 17Lead 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 Lead System Analyst opening in... more

Jul 16Manager III, Continuing EducationFinancial 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 Manager I, Continuing Education... more

Jul 16Senior Software/Cloud Security 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 Senior Software/Cloud Security Engineer opening in Rockville, MD. To be... more

Jul 16Enforcement CounselFinancial 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 Enforcement Counsel opening in New York, NY. To be considered for this position,... more

Jul 16Regulatory 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

Jul 16Associate Director, Risk Management - 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 Associate Director, Risk Management opening in Washington, DC or New York, NY. To... 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 11Financial Operations Examiner - Member Regulation, ROOR - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

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

Jul 09Compliance Examiner, Member Regulation Sales PracticeFinancial Industry Regulatory Authority (finra)San 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 27Regulatory Analyst - Market Regulation, Fixed Income 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 26Senior Surveillance Developer - TechnologyFinancial 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 Surveillance Developer opening in New York, NY. To be considered for this... more

Jul 26Compliance 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 26Software Security 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 Staff Software Security Engineer opening in Rockville, MD. To be considered for... more

Jul 26Compliance 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 26Regulatory 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 26Deputy District Director - 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 Deputy District Director- Member Regulation,Sales Practice opening in Chicago, IL... more

Jul 26Examiner - IT Financial Operations, 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 IT Financial Operations Examiner opening in New York, NY. To be considered for... more

Jul 26Trainer, 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 Trainer opening in Rockville, MD or... more

Jul 26Manager II, Market Regulation - 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 Manager II, Market Regulation... more

Jul 25Stockbrokers - 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 24Associate Developer, 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 Associate Developer openings in... more

Jul 24Associate Director, Test Security - 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 Associate Director, Test Security... more

Jul 24FINRA Legal Intern, OGC CPAGFinancial Industry Regulatory Authority (finra)Washington, DC

We Work to Protect Investors. Join our Team. FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the securities industry with an... more

Jul 23HR Associate, Diversity & WorkLife (Part-Time) - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Human Resources Associate, Diversity & WorkLife (part-time) opening in Rockville,... more

Jul 23Compliance 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

Jul 22Stockbroker / Financial Advisor / Stock Broker TraineeBroker DealerGreat Neck, NY

We are seeking self motivated positive individuals to join our team, and currently accepting applications for a limited number of senior stockbroker & trainee positions to build... 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 14FINRA Employee Attorney - Broker/DealerCitizens FinancialBoston, MA

Responsibilities RBS Citizens, N.A. is seeking a mid-level attorney to join its Employment Law team.¬ The primary focus of this role will be to provide legal representation before... 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