EMPLOYMENT TUESDAY at BrokeAndBroker.com

August 5, 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!  

Aug 04Sales Representatve - Financial PlannerAXANew York City, NY

registrations or equivalent. About AXA AXA Advisors, LLC is a leading provider of ... consolidated subsidiaries. AXA Advisors and AXA Equitable are part of the AXAGroup, a... more

Aug 01Financial Advisor - Entry Level or ExperiencedAXA AdvisorsRaleigh, NC

and excellent professional choices. AXA Advisors' financial professionals are ... Apply now for immediate consideration. AXA Advisors, LLC (NY, NY 212-314-4600) member,... more

Aug 01Financial Sales Professional- Entry Level or ExperiencedAXA AdvisorsClifton Park, NY

strength and vast resources of AXA Advisors that are a complementary match to ... your own.Apply now for consideration.AXA Advisors, LLC (NY, NY 212-314-4600) member... more

Aug 01Financial Services RepresentativeAXA AdvisorsBaltimore, MD

AXA Advisors, LLC, a leader in financial services, is seeking the right individual for the ... send your resume, in confidence. AXA Advisors, LLC (NY,NY, 212-314-4600) is a...more

Jul 31Financial Consultant --AdvisorAXA AdvisorsNew York City, NY

sales rep, apply to join our team at AXA AdvisorsAXA Advisors, LLC is one of the ... as financial representatives. As an AXA Advisors' Financial Professional, you will...more

Jul 30Financial Advisory InternAXA AdvisorsNew York City, NY

Internships create opportunities for college students to acquire knowledge and skills relevant to the financial services industry and build momentum for the financial sales... more

Jul 29Financial AdvisorAXA AdvisorsSaint Louis, MO

AXA Advisors is now hiring Financial AdvisorsAXA Advisors is a leader in helping ... consolidated subsidiaries. AXA Advisors and AXA Equitable are part of the AXAGroup, a... more

Jul 29Financial Advisor (Leader In Financial Services)AXA AdvisorsNew York City, NY

Analyze financial information obtained from clients to determine strategies, products and services to help clients meet their financial objectives Build and maintain client base,... more

Jul 25Financial Advisor- Entry Level or ExperiencedSt Louis, MO

5,000 financial professionals. AXA Advisors is an equal opportunity employer ... leading financial services firms.As an AXA Advisors financial professional, you'll...more

Jul 24Financial ProfessionalAXA AdvisorsClayton, MO

financial professional. At AXA Advisors, training is a process not an event, whereby ... who excel at AXA Advisors come from many different professional backgrounds...more

Jul 22CAREER opportunity with one of the largest companies in the WorldAXA AdvisorsSan Francisco, CA

Our top ranked Financial Services firm, Axa Advisors, LLC is looking for 2 highly ... CFP, CLU, CHFC. Daniel.worthington@axa-advisors.com or call 415-276-2190. Axa is among... more

Jul 22Entry Level Financial ProfessionalAXA AdvisorsSan Francisco, CA

and is part of the global AXA Group, "AXA Group" refers to AXA, a French holding ...AXA Financial, Inc. and AXA Financial's strong family of brands, including AXAAdvisors,... more

Jul 22ARE YOU TIRED OF BEING A LAWYERAXA AdvisorsSan Francisco, CA

to work as a financial professional with AXA Advisors, LLC - part of the Global AXA ... CA) Jamie Smith, JD (San Diego) AXA Advisors is an Equal Opportunity Employer...more

Jul 22EXECUTIVE SALES / MANAGEMENTAXA AdvisorsSan Francisco, CA

EXECUTIVE SALES / MANAGEMENT Axa Advisors, LLC, one of the largest companies in the World, is experiencing exponential growth. The Northern California Branch alone expects to hire... more

Jul 22DISTRICT MANAGER / VICE PRESIDENTAXA AdvisorsSan Francisco, CA

DISTRICT MANAGER AXA ADVISORS, a client-focused financial services leader, is seeking two ... Dan Worthington, CFP, CLU, ChFC AXA Advisors, LLC (NY, NY 212-314-4600), member... more

Jul 22SERIES 7 FINANCIALADVISOR / MANAGEMENT -AXA AdvisorsSan Francisco, CA

to a satisfying professional future. AXA Advisors, a dynamic and growing financial ... skills into a rewarding business. AXA Advisors, LLC (NY, NY 212-314-4600), member... more

Aug 04Managing Director Fixed Annuity & Group RetirementAmericanInternational GroupHouston, TX

income annuities products, as well as the group retirement variable annuities ... UsAmerican International Group, Inc. (AIG) is a leading international insurance... more

Aug 04Sr. Legal Secretary, Construction DefectAmericanInternational GroupSan Ramon, CA

job done. About Us American International Group, Inc. (AIG) is a leadinginternational insurance organization serving customers in more than 130 countries and jurisdictions. AIG... more

Aug 04Regulatory Control Lead - Benefit Solutions GroupAmericanInternational GroupNew Jersey

Us American International Group, Inc. (AIG) is a leading international insurance organization serving customers in more than 130 countries and jurisdictions. AIG companies serve... more

Aug 04Engineer AIGPC Wintel Engineering ServerAmericanInternational GroupParsippany, NJ

as needed. About Us American International Group, Inc. (AIG) is a leadinginternational insurance organization serving customers in more than 130 countries and jurisdictions. AIG... more

Aug 04Production SpecialistAmericanInternational GroupTampa, FL

beneficial. About Us American International Group, Inc. (AIG) is a leadinginternational insurance organization serving customers in more than 130 countries and jurisdictions. more

Aug 02Risk Analyst Lead Fixed Annuities & GroupRetirement - Houston, ERM - CCARAmericanInternational GroupHouston, TX

and reporting for the Fixed Annuities & Group Retirement business. Ongoing analytics ... Us American International Group, Inc. (AIG) is a leading international... more

Aug 01ASSISTANT PROFESSOR (Government) AmericanPolitics/InternationalRelationsManhattan College, New YorkNew York

Full-time ASSISTANT PROFESSOR (Government) American Politics/International ... scholar specializing in American Politics or International Relations. For American...more

Jul 27Manager Quality Assurance and Business Requirements - IT Benefit Solutions GroupAmericanInternational GroupNew Jersey

duties to the IT Benefit Solutions Group. The person fulfilling this role will ... and applications American International Group, Inc. (AIG) is a leading international...more

Jul 24AVP Retirement Income Solutions Group, ProductAmericanInternational GroupWoodland Hills, CA

resources American International Group, Inc. (AIG) is a leading internationalinsurance organization serving customers in more than 130 countries and jurisdictions. AIG companies... more

Jul 24Manager of Inside Sales-Group RetirementAmericanInternational GroupHouston, TX

and Business Development within the AIG Group Retirement Business >Financial Planning ... Retirement About Us American International Group, Inc. (AIG) is a leading international... more

Jul 24Senior Auditor - Corp.GroupsAmericanInternational GroupNew York City, NY

of the team. American International Group, Inc. (AIG) is a leading internationalinsurance organization serving customers in more than 130 countries and jurisdictions. AIG... more

Jul 24Benefit Solutions GroupUnderwriting Integration LeadAmericanInternational GroupNew Jersey

Integration lead will drive RFP responses, group-level proposals, etc. across the towers ... teams of people American International Group, Inc. (AIG) is a leadinginternational... more

Jul 24VP & Actuary - GroupRetirement PricingAmericanInternational GroupHouston, TX

Plan new group acquisition * Lead the Group Pricing team in the development, ... or related field. American International Group, Inc. (AIG) is a leading international...more

Jul 23Account Manager, GroupRetirementAmericanInternational GroupHouston, TX

Executive Account Manager or Vice President, Group Management and will work closely with ... 63 a plus. About Us American International Group, Inc. (AIG) is a leading international... more

Aug 04Chase Wealth Management (CWM) Closing AnalystJPMorgan ChaseDelaware

Strong data analysis skills JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V Job Analyst Primary Location US-DE-Newark-200 White Clay Center Dr /... more

Aug 04JPMorgan Securities | Client Associate, 7 & 63 or 66 |JPMorgan ChaseNew York

user of Word, PowerPoint and Excel JPMorgan Chase offers an exceptional benefits ... competitive compensation package. JPMorgan Chase is an Equal Opportunity and... more

Aug 04Chase Wealth Management - Market DirectorJPMorgan ChaseNew Berlin, WI

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... continuing education requirements JPMorgan Chase is an Equal Opportunity and Affirmative... more

Aug 03Anticipated Financial Advisor - Chase Wealth Management - Wall Street AreaJPMorgan ChaseNew York City, NY

Within Chase,Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Aug 03Retirement Specialist- ChaseWealth ManagementJPMorgan ChaseNew York City, NY

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Aug 03Retirement Team Lead -Chase Wealth ManagementJPMorgan ChaseNew York City, NY

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Aug 02Dealer Relationship Manager - Chase Auto Finance - West Region -JPMorgan ChaseSeattle, WA

new and existing auto dealers to use Chase Auto Finance (CAF) for indirect ... maintain client relationships JPMorgan Chase is an Equal Opportunity and Affirmative... more

Aug 02Chase Wealth Management - Market Director - ManhattanJPMorgan ChaseNew York

with auto dealerships. Within ChaseChase Wealth Management encompasses ourChase ... FINRA continuing education requirements JPMorgan Chase is an Equal Opportunity and... more

Aug 02Chase Wealth Management - Market Director - Long IslandJPMorgan ChaseNew York

with auto dealerships. Within ChaseChase Wealth Management encompasses ourChase ... FINRA continuing education requirements JPMorgan Chase is an Equal Opportunity and... more

Aug 01Dealer Relationship Manager - Chase Auto Finance - West RegionJPMorgan ChaseOakland, CA

new and existing auto dealers to use Chase Auto Finance (CAF) for indirect ... and maintain client relationships JPMorgan Chase is an Equal Opportunity and... more

Jul 31Chase Wealth Management - Financial Advisor - Springboro, OHJPMorgan ChaseWausau, WI

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Jul 30Chase Wealth Management - Financial Advisor - Columbus, OH (G. Village)JPMorgan ChaseNichols, WI

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Jul 30Chase Wealth Management - Financial Advisor - Dublin, OHJPMorgan ChaseCato, WI

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Jul 27JPMorgan Securities | Client Associate |JPMorgan ChaseSan Francisco, CA

JPMorgan Securities | Client Associate | San Francisco-140075360 ## Job Description * ... user of Word, PowerPoint and Excel JPMorgan Chase is an Equal Opportunity and... more

Jul 24JPMorgan Chase Recruiter - Commercial BankingJPMorgan ChaseBronx, NY

Agency environment highly desired JPMorgan Chase offers an exceptional benefits package ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V... more

Jul 24JPMorgan Securities | Marketing Assistant |JPMorgan ChaseAtlanta, GA

if selected for an interview. JPMorgan Chase offers an exceptional benefits program ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V... more

Aug 02Associate Financial Advisor - West Palm BeachAIGAtlantis, FL

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

Aug 01Financial 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

Aug 01Financial Advisor - Newport NewsAIGNorfolk, VA

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 31BRANCH FINANCIALADVISOR - BROAD WAGGONER (179206)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 31Branch Financial Advisor(190655)PNCNewtown, 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 31Branch Financial Advisor(160259)PNCPark Ridge, 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 31BRANCH FINANCIALADVISOR - GAHANNA (187934)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 31Financial Advisor - Perryville, MD (Cecil County) (190895)PNCPerryville, 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 30Financial Advisor - RiversideAIGBanning, CA

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 30Financial Advisor - SacramentoAIGCitrus Heights, CA

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 30Financial Advisor - OahuAIGKailua Kona, 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 30Financial Solutions AdvisorUSAASan Antonio, TX

for our San Antonio, TX location. As a Financial Advisor for USAA, you will ... TheFinancial Advisor would also do portfolio assessments and create financial plans that... more

Jul 30Financial Advisor San BernadinoAIGAdelanto, CA

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 29Sr Financial Advisor, Vice President - UBIS (Carlsbad, Oceanside, El Camino Real & San Luis Rey)Union BankCarlsbad, CA

include: Profiles clients by obtaining financial information and suitability information. ... to close the sales. Requires extensive financial analysis review of the clientsfinancial... more

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 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

Aug 04Financial Sales Consultant, Annapolis, MD (188873)PNCAnnapolis, MD

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

Aug 04In-Store Financial SalesConsultant - Crofton Station @ Giant (186927)PNCGambrills, MD

As an In-Store Financial Consultant, you will become the "face of PNC" at one of our ... within a retail-based, marketing and sales-focused professional environment. This... more

Aug 02Bilingual Spanish In StoreFinancial Sales Consultant - Washington DC (190185)PNCWashington, DC

SPEAKER STRONGLY PREFERRED As an In-Store Financial Consultant, you will become the ... within a retail-based, marketing and sales-focused professional environment. When you... more

Aug 02In Store Financial SalesConsultant-Northern VA Branches (188316)PNCReston, VA

am This full time In Store Financial Sales Consultant position is an exciting ... service issues. 2 years of strong sales background in retail or financial setting... more

Aug 02In Store Financial SalesConsultant - Cathedral Commons Washington, DC (190184)PNCWashington, DC

Avenue, Washington DC 20016) As an In-Store Financial Consultant, you will become the ... within a retail-based, marketing and sales-focused professional environment. When you... more

Aug 01Financial ServicesConsultant (Inside Sales)PridestaffMiami, FL

Financial Services Consultant (Inside Sales) Summary: The Financial Services Consultants ... & Supervisor: Financial Services - VP of Sales Skills & Qualifications: ? Experience... more

Jul 30Financial Advisor - Insurance & Finance/Banking SalesConsultantModern Woodmen of AmericaLouisville, KY

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

Jul 29Financial Advice RegionalSales ConsultantAmeripriseMinneapolis, MN

Financial. The Financial Advice Regional Sales Consultant provides subject matter ...financial planning and sales. The Regional Sales Consultant will be responsible for...more

Aug 02AML Compliance Examiner, Member Regulation - Various LocationsFinancial Industry Regulatory Authority (finra)New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Compliance Examiner, Anti-Money Laundering Investigative Unit openings in Boca... more

Aug 01Compliance Examiner - 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 Compliance Examiner opening in New York, NY. To be considered for this position,... more

Jul 31Administrative Assistant II/III - Legal and Policy - 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 Administrative Assistant II/I... more

Jul 31Compliance 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 31Lead 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 31Enforcement Investigator - 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 Enforcement Investigator opening in... more

Jul 31Public 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 30Counsel - Market Regulation, Legal - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Jul 30Regulatory Analyst - OFDMI/ Office of Whistleblower - 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 Analyst opening in... more

Jul 30Coordinator III - Corporate Meetings and ConferencesFinancial 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 Coordinator I - Corporate Meetings... more

Jul 29Consolidated Supervised Entity 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 Consolidated Supervised Entity (CSE) Examiner opening in New York, NY. To be... 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 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 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 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 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 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 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 24Associate Director of Test Security for Professional Assessments, 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 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 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

Aug 04Senior 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

Aug 04Lead 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

Aug 03Senior StockbrokerArjentNew York City, NY

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

Aug 02Senior 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

Aug 02Regulatory 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

Aug 02Manager 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

Aug 02Desktop Engineer - Rockville, MD - Contractor ConversionFinancial 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 Desktop Engineer opening in Rockville, MD. To be considered for this position,... more

Aug 02Examiner IT Financial Operations, Member Regulation, ROOR - New York, NY(Job Number: 003460) (00824822)FinraNew York City, NY

* Back to Search Results * Next * Previous Examiner - IT Financial Operations, Member Regulation, ROOR - New York, NY(Job Number: 003460) * Salary: Competitive * Location: New... more

Aug 02Financial Operations Examiner Market Regulation, Trading & Financial Compliance Examinations - New York, NY(Job Number: 003387) (00824828)FinraNew York City, NY

* Back to Search Results * Next * Previous Financial Operations Examiner - Market Regulation, Trading & Financial Compliance Examinations - New York, NY(Job Number: 003387) *... more

Aug 01Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE)Financial 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 31Stockbroker Trainee ProgramAegis CapitalMelville, NY

Series 7 & 63 sponsorship Series 7 & 63 sponsorship Aegis Capital Corp takes an active role in training employees in all aspects necessary to produce successful brokers in this... 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 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