EMPLOYMENT TUESDAY at BrokeAndBroker.com

September 2, 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 30Associate Director of Test Security for Professional Assessments, Rockville, MD or NYCFinancial 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

Aug 30Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR (00837156)FinraNew York City, NY

Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR * Salary: Competitive * Location: New York, NY, USA * Job Type: Permanent, Full time *... more

Aug 30Associate Principal Specialist, Credit Regulation, New York, NY (00837166)FinraNew York City, NY

Associate Principal Specialist, Credit Regulation, New York, NY * Salary: Competitive * Location: New York, NY, USA * Job Type: Permanent, Full time * Company: FINRA * Posted on:... more

Aug 29Manager 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 29Lead 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 28FINRA Legal Extern, Enforcement (UNPAID)FinraJericho, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Externship - Department of Enforcement in Jericho, NY . To be considered for... more

Aug 25Supervisory Analyst (FINRASeries 16)Temporary ContractWichita, KS

Edit, approve and publish Wall Street equity and fixed income research making certain it meets all regulatory requirements. Desired Skills: Research Economics Editorial Writing... more

Aug 23FINRA SpecialistScottradeSt Louis, MO

FINRA Specialist- St. Louis, MO Job ID: 20140408-9453 Description: Scottrade, Inc. has a FINRA Specialistposition available inSt. Louis, MO. The main purpose of this position is... more

Aug 21Corporate Controller FINRAAppian StaffingTampa, FL

Compensation $70K to 75K Daily management of the books including accounts payable and accounts receivable Responsible for maintaining compliance with the FINRA standards, and... more

Aug 21Business Analyst - OATS /Finra BackgroundC&A ResourcesNew York City, NY

A Senior Business Analyst position for an OATS project... meet with both the business and the technical team A hands-on person who can parse and interpret the data coming from the... more

Aug 19Stockbrokers/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

Aug 18NYC Commercial/FINRAAssociateWilson Elser Moskowitz Edelman & DickerNew York City, NY

Wilson Elser's New York Midtown office currently seeks a Commercial/FINRA Associate who possesses the below. Qualifications JD from an accredited Law School Admitted to... more

Sep 01Financial ServicesRepresentative- AventuraTD BankMiami, FL

communication skills * Customer Services Representative experience helpful * ... Equal Opportunity Employer *Financial Services Representative- Aventura*... more

Sep 01Financial ServicesRepresentativeFirst BankSan Rafael, CA

RCSR Job Title Financial Services Representative San Rafael Area of Interest Retail ... In this role as a Financial Services Representative I your primary... more

Sep 01Insurance Representative -Financial Services SalesWestern and Southern LifeDaytona Beach, FL

line of financial products and services. Serve as a dependable advisor who ...Financial Services, Inc.; Peppertree Partners LLC;1 Touchstone Advisors, Inc.;1 Touchstone... more

Aug 31Customer ServiceRepresentativeTitlemaxFort Mill, SC

to questions or concerns about our services. The talented group of Customer Service ... service oriented position; retail or financial industries preferred Sales-oriented...more

Aug 29Financial ServicesRepresentative I / GallowayTD BankAbsecon, NJ

TD Securities **Job Description** The Financial Services Representative (FSR) acts ... with Disabilities *Financial Services Representative I /... more

Aug 29Financial ServicesRepresentativeTD BankHollywood, FL

communication skills * Customer Services Representative experience helpful * ... Equal Opportunity Employer *Financial Services Representative* *Pembroke... more

Aug 29Insurance 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

Aug 28Licensed Financial ServiceRepresentativeFlagstar BankMichigan

team as a financial service representative/Licensed banker. This individual is ... customer relationships relative to their financial needs, recommends products/services... more

Aug 27Associate Financial ServiceRepresentativeE*TRADE FinancialSandy, UT

SUMMARY_****: As an **Associate** **Financial Services Representative,**this ... and goals. * An Associate Financial Services Representative will perform... more

Aug 27Entry Level: FinancialServices Representative$60,000 - $100,000New 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

Aug 26Licensed Associate FinancialServices RepresentativeE*TRADE FinancialSandy, UT

**Licensed Associate** **Financial Services Representative,**this person will be ... EMPLOYER *Job Title:* Licensed Associate Financial Services Representative*Location:*... more

Aug 24Customer Service Rep - InvestmentsAIGMinneapolis, MN

customer service to Woodbury Financial Services registered representative and ... service experience preferrably in financial services * Expert business skills:... more

Aug 24Licensed Financial ServicesRepresentative - state insurance license series 6 & 63Allstate Financial RepSacramento, CA

As an Allstate Personal Financial Representative you'll soar to new heights ... more becoming an Allstate Personal Financial Representative.More About AllstateThe...more

Aug 24Financial ServicesRepresentative II - Float JobFirst Citizens BankRaleigh, NC

Financial Services Representative II - FloatUse your LinkedIn Profile to help you apply ... involvement. The Financial Services Representative II is responsible for...more

Aug 23Financial ServicesRepresentativeRegions FinancialLancaster, TX

## At Regions, The Financial Services Specialist is viewed internally as the subject ... to detail **Preferences** * Banking / Financial background *Job:* Branch/Consumer... more

Aug 21Entry 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

Aug 16Financial Services Manager-Entry Level Insurance/Finance/RecruiterModern Woodmen of AmericaMadison, 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

Aug 15Financial 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

Aug 31JPMorgan Securities VP Compliance - BrokerageJPMorgan ChaseNew York City, NY

JPMorgan Securities VP Compliance - Brokerage-140087408 ## Job DescriptionJPMorgan Chase ... JP Morgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V * Advise... more

Aug 29Chase Private Client - Private Client Advisor - San Jose, CA (Saratoga Ave)Classifiedads.comSan Jose, CA

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 29Chase Private Client - Private Client Advisor - Sunnyvale/Santa ClaraClassifiedads.comSunnyvale, CA

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 29JPMorgan Securities | Client Associate |JPMorgan ChaseWhite Plains, NY

JPMorgan Securities | Client Associate | White Plains, NY-140088220 ## Job Description * ... user of Word, PowerPoint and Excel JPMorgan Chase is an Equal Opportunity and... more

Aug 27Chief of Staff - Executive Director - JPMorgan ChaseInstituteJPMorgan ChaseWashington, DC

## Job Description The new JPMorgan Chase Institute will be a thought-leading ... of total relevant experience JPMorgan Chase is an equal opportunity and affirmative...more

Aug 23Asset Management -JPMorgan Private Bank - Wealth AdvisorJPMorgan ChaseDallas, TX

Asset Management - JPMorgan Private Bank - Wealth Advisor - Dallas, Texas-140085255 ## Job ... Management** **_Wealth Advisor_** JP Morgan Chase & Co. (NYSE: JPM) is a leading global... more

Aug 22JPMorgan Securities | Marketing Assistant |JPMorgan ChaseBoston, MA

sales role. * Bachelor's degree required. JPMorgan Chase offers an exceptional benefits ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V... more

Aug 20JPMorgan Securities | Marketing Assistant | BostonJPMorgan ChaseFlorence, KY

role. Bachelor's degree required. JPMorgan Chase offers an exceptional benefits program ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V. more

Aug 19Asset Management -JPMorgan Private Bank - Wealth Advisor - Dallas, TexasJPMorgan ChaseNorthborough, MA

Wealth Management Wealth Advisor JP Morgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of more than $2 trillion and operations in more than 60... more

Aug 18JPMorgan Chase Recruiter - Commercial BankingChaseChicago, IL

Agency environment highly desired JPMorgan Chase offers an exceptional benefits package ... competitive compensation package.JPMorgan Chase is an Equal Opportunity and Affirmative... more

Aug 17Chase Wealth Management - Financial AdviDepartment of Workforce ServicesSalt Lake City, UT

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 31Relationship Banker-Avocado and ChaseJPMorgan ChaseEl Cajon, CA

banking experience at Chase As part of JPMorgan Chase a leading global financial ... continued employment in this position with JPMorgan Chase is contingent upon compliance... more

Sep 01Sales Representatve - Financial PlannerAXANew York

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

Sep 01Financial AdvisorNet Worth Management GroupMorristown, NJ

in PR as AXA Network of Puerto Rico, Inc. AXA AdvisorsAXA Network, and Net Worth ... advisor and is not owned or operated by AXA Advisors or AXA Network. AGE-87174... more

Aug 31Financial 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

Aug 30Financial 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

Aug 29Financial Advisor - AXAAdvisorsAXA AdvisorsSacramento, CA

WITH AXA ADVISORS, LLC WHY AXA ADVISORSAXA Advisors LLC, a provider of investment ... AXA Advisors, LLC is a subsidiary of AXA Financial, Inc. whose other subsidiaries... more

Aug 25Financial Advisor InternAXA AdvisorsNew York City, NY

This involves preparing case work, managing schedules and overall administrative work to help the office run smoothlyWork closely with a Senior Financial Consultant: During the... more

Aug 25Financial Advisor - Leader In Financial ServicesAXA AdvisorsNew York City, NY

You should be a self-starter, possess unequivocal honesty and integrity and be highly motivated in helping others achieve financial independence A background in law, accounting,... more

Aug 25Financial Professional InternAXA AdvisorsNew York City, NY

Execute administrative/ marketing duties which may include preparing reports, correspondence, phone calls, etcShadow the Financial Professional as she performs the following... more

Aug 22Financial Advisor- Entry Level or ExperiencedSt Louis, MO

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

Aug 19SALES EXECUTIVEAXA AdvisorsSan Francisco, CA

FINANCIAL PROFESSIONAL Leading financial services company seeks two top-quality candidates to enter sales training program. Candidate must have a four-year college degree and... more

Aug 19SERIES 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 18Financial Sales Professional- Entry Level or ExperiencedAXA AdvisorsColumbia, MD

now for immediate consideration.AXA Advisors, LLC (NY, NY 212-314-4600), ... AXAAdvisors, LLC is an Equal Opportunity Employer M/F/D/V.GE-80503(09/12)... more

Aug 15Financial Advisor - Entry Level or ExperiencedAXA AdvisorsRaleigh, NC

AXA Advisors, LLC, a respected leader in the financial services industry, has exciting ... and excellent professional choices. AXA Advisors' financial professionals are...more

Aug 27International Data Consolidation Analyst - FP&AAmericanInternational GroupNew York City, NY

AIG is seeking an Analyst - International Data Consolidation for the Financial Planning & ... environment. American International Group, Inc. (AIG) is a leadinginternational... more

Aug 26Underwriting Group - Worksite BenefitsAmericanInternational GroupNew Jersey

* Evaluate financial data, demographics, group experience and information provided to ... Some travel required. American International Group, Inc. (AIG) is a leadinginternational... more

Aug 22Director - Group Benefits Disability PricingAmericanInternational GroupFarmington, CT

opportunity for a Director and Actuary, Group Employer and Affinity Disability ... UsAmerican International Group, Inc. (AIG) is a leading international insurance... more

Aug 22Manager, InternationalPayroll OperationsAmericanInternational GroupHouston, TX

5-10 years large scale Expatriate/International Payroll experience ... Workday experience FPC or CPP Certification #LI-KE1 About Us American International Gr...more

Aug 20Risk 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 insurance...more

Aug 20Associate Actuary-GroupMutual Fund PricingAmericanInternational GroupHouston, TX

sales support and monitor group retirement business. Position Requirements College ... American International Group, Inc. (AIG) is a leading internationalinsurance organization... more

Aug 20VP Insurance Services Operations - Insured Solutions GroupAmericanInternational GroupBrentwood, TN

overall operations the Insured Solutions Group, which includes strategic design and ... FLMI About Us American International Group, Inc. (AIG) is a leadinginternational... more

Aug 18Claims Analyst II - Private Client GroupAmericanInternational GroupSchaumburg, IL

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