by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 2, 2014
| Aug 30 | Associate Director of Test Security for Professional Assessments, Rockville, MD or NYC | Financial 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 30 | Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR (00837156) | Finra | New 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 30 | Associate Principal Specialist, Credit Regulation, New York, NY (00837166) | Finra | New 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 29 | Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR | 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 Manager I opening in New York, NY, Rockville, MD, or Washington DC. To be... more | |||
| Aug 29 | Lead Developer - Technology - Rockville | Financial 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 28 | FINRA Legal Extern, Enforcement (UNPAID) | Finra | Jericho, 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 25 | Supervisory Analyst (FINRASeries 16) | Temporary Contract | Wichita, 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 23 | FINRA Specialist | Scottrade | St 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 21 | Corporate Controller FINRA | Appian Staffing | Tampa, 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 21 | Business Analyst - OATS /Finra Background | C&A Resources | New 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 19 | Stockbrokers/Broker Trainees | New York Brokerage Firm | Westbury, 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 18 | NYC Commercial/FINRAAssociate | Wilson Elser Moskowitz Edelman & Dicker | New 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 01 | Financial ServicesRepresentative- Aventura | TD Bank | Miami, FL |
communication skills * Customer Services Representative experience helpful * ... Equal Opportunity Employer *Financial Services Representative- Aventura*... more | |||
| Sep 01 | Financial ServicesRepresentative | First Bank | San 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 01 | Insurance Representative -Financial Services Sales | Western and Southern Life | Daytona 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 31 | Customer ServiceRepresentative | Titlemax | Fort 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 29 | Financial ServicesRepresentative I / Galloway | TD Bank | Absecon, NJ |
TD Securities **Job Description** The Financial Services Representative (FSR) acts ... with Disabilities *Financial Services Representative I /... more | |||
| Aug 29 | Financial ServicesRepresentative | TD Bank | Hollywood, FL |
communication skills * Customer Services Representative experience helpful * ... Equal Opportunity Employer *Financial Services Representative* *Pembroke... more | |||
| Aug 29 | Insurance Agency Owner - Insurance and FinancialServices - Sales/Management | Farmers Insurance-jon Robb | Schaumburg, IL |
services, financial planner, financial advisor, financial consultant, financial rep, ... Farm, Allstate, Country Financial, Sentry Insurance, American Family, AAA, Liberty...more | |||
| Aug 28 | Licensed Financial ServiceRepresentative | Flagstar Bank | Michigan |
team as a financial service representative/Licensed banker. This individual is ... customer relationships relative to their financial needs, recommends products/services... more | |||
| Aug 27 | Associate Financial ServiceRepresentative | E*TRADE Financial | Sandy, UT |
SUMMARY_****: As an **Associate** **Financial Services Representative,**this ... and goals. * An Associate Financial Services Representative will perform... more | |||
| Aug 27 | Entry Level: FinancialServices Representative$60,000 - $100,000 | New York Life Insurance Company | Melville, NY |
Valuable exposure to the exciting financial services industry A stimulating ... andFinancial Services Professional A licensed financial services professional is... more | |||
| Aug 26 | Licensed Associate FinancialServices Representative | E*TRADE Financial | Sandy, UT |
**Licensed Associate** **Financial Services Representative,**this person will be ... EMPLOYER *Job Title:* Licensed Associate Financial Services Representative*Location:*... more | |||
| Aug 24 | Customer Service Rep - Investments | AIG | Minneapolis, MN |
customer service to Woodbury Financial Services registered representative and ... service experience preferrably in financial services * Expert business skills:... more | |||
| Aug 24 | Licensed Financial ServicesRepresentative - state insurance license series 6 & 63 | Allstate Financial Rep | Sacramento, 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 24 | Financial ServicesRepresentative II - Float Job | First Citizens Bank | Raleigh, NC |
Financial Services Representative II - FloatUse your LinkedIn Profile to help you apply ... involvement. The Financial Services Representative II is responsible for...more | |||
| Aug 23 | Financial ServicesRepresentative | Regions Financial | Lancaster, TX |
## At Regions, The Financial Services Specialist is viewed internally as the subject ... to detail **Preferences** * Banking / Financial background *Job:* Branch/Consumer... more | |||
| Aug 21 | Entry Level, FinancialServices | New York Life Insurance Company | West Des Moines, IA |
Financial advisor, financial planner, financial counselor, financial analyst, Insurance ... financial sales, agent, financial rep, financial representative, financial... more | |||
| Aug 16 | Financial Services Manager-Entry Level Insurance/Finance/Recruiter | Modern Woodmen of America | Madison, 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 15 | Financial ServicesRepresentative | Fireseeds | Birmingham, 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 31 | JPMorgan Securities VP Compliance - Brokerage | JPMorgan Chase | New 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 29 | Chase Private Client - Private Client Advisor - San Jose, CA (Saratoga Ave) | Classifiedads.com | San Jose, CA |
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 29 | Chase Private Client - Private Client Advisor - Sunnyvale/Santa Clara | Classifiedads.com | Sunnyvale, CA |
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 29 | JPMorgan Securities | Client Associate | | JPMorgan Chase | White 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 27 | Chief of Staff - Executive Director - JPMorgan ChaseInstitute | JPMorgan Chase | Washington, 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 23 | Asset Management -JPMorgan Private Bank - Wealth Advisor | JPMorgan Chase | Dallas, 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 22 | JPMorgan Securities | Marketing Assistant | | JPMorgan Chase | Boston, 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 20 | JPMorgan Securities | Marketing Assistant | Boston | JPMorgan Chase | Florence, 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 19 | Asset Management -JPMorgan Private Bank - Wealth Advisor - Dallas, Texas | JPMorgan Chase | Northborough, 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 18 | JPMorgan Chase Recruiter - Commercial Banking | Chase | Chicago, 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 17 | Chase Wealth Management - Financial Advi | Department of Workforce Services | Salt 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 31 | Relationship Banker-Avocado and Chase | JPMorgan Chase | El 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 01 | Sales Representatve - Financial Planner | AXA | New 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 01 | Financial Advisor | Net Worth Management Group | Morristown, NJ |
in PR as AXA Network of Puerto Rico, Inc. AXA Advisors, AXA Network, and Net Worth ... advisor and is not owned or operated by AXA Advisors or AXA Network. AGE-87174... more | |||
| Aug 31 | Financial Services Representative | AXA Advisors | Baltimore, 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 30 | Financial Consultant --Advisor | AXA Advisors | New York City, NY |
sales rep, apply to join our team at AXA Advisors! AXA Advisors, LLC is one of the ... as financial representatives. As an AXA Advisors' Financial Professional, you will...more | |||
| Aug 29 | Financial Advisor - AXAAdvisors | AXA Advisors | Sacramento, CA |
WITH AXA ADVISORS, LLC WHY AXA ADVISORS? AXA Advisors LLC, a provider of investment ... AXA Advisors, LLC is a subsidiary of AXA Financial, Inc. whose other subsidiaries... more | |||
| Aug 25 | Financial Advisor Intern | AXA Advisors | New 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 25 | Financial Advisor - Leader In Financial Services | AXA Advisors | New 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 25 | Financial Professional Intern | AXA Advisors | New 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 22 | Financial Advisor- Entry Level or Experienced | St 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 19 | SALES EXECUTIVE | AXA Advisors | San 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 19 | SERIES 7 FINANCIALADVISOR / MANAGEMENT - | AXA Advisors | San 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 18 | Financial Sales Professional- Entry Level or Experienced | AXA Advisors | Columbia, 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 15 | Financial Advisor - Entry Level or Experienced | AXA Advisors | Raleigh, 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 27 | International Data Consolidation Analyst - FP&A | AmericanInternational Group | New 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 26 | Underwriting Group - Worksite Benefits | AmericanInternational Group | New Jersey |
* Evaluate financial data, demographics, group experience and information provided to ... Some travel required. American International Group, Inc. (AIG) is a leadinginternational... more | |||
| Aug 22 | Director - Group Benefits Disability Pricing | AmericanInternational Group | Farmington, CT |
opportunity for a Director and Actuary, Group Employer and Affinity Disability ... UsAmerican International Group, Inc. (AIG) is a leading international insurance... more | |||
| Aug 22 | Manager, InternationalPayroll Operations | AmericanInternational Group | Houston, 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 20 | Risk Analyst Lead Fixed Annuities & GroupRetirement - Houston, ERM - CCAR | AmericanInternational Group | Houston, 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 20 | Associate Actuary-GroupMutual Fund Pricing | AmericanInternational Group | Houston, TX |
sales support and monitor group retirement business. Position Requirements • College ... American International Group, Inc. (AIG) is a leading internationalinsurance organization... more | |||
| Aug 20 | VP Insurance Services Operations - Insured Solutions Group | AmericanInternational Group | Brentwood, 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 18 | Claims Analyst II - Private Client Group | AmericanInternational Group | Schaumburg, 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 | |||
Search BrokeAndBroker
Related Topics
Previous Entries
-
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
April 10, 2021
Customer Complaints and Away Settlements -- Matters of Interpretation? (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5788/finra-complaint-set... Read On
-
Customer Complaints and Away Settlements -- Matters of Interpretation?
April 9, 2021
A lot of what passes for misconduct on Wall Street is a matter of interpretation. You say that you did or didn't do something. Your firm's compliance ... Read On
-
FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History
April 8, 2021
Yet again, I say. Yet again. Wall Street's lackluster regulatory scheme fails to proactively detect an oncoming tsunami, and the markets get flooded. ... Read On
-
JP Morgan Customer Seems To Have Accused Stockbroker of Not Exercising Unauthorized Discretion
April 7, 2021
Over a decade ago, when the stock markets were cratering in the wake of the Great Recession, investors saw their pre-2009 gains vanish. Lots of black ... Read On
-
FINRA Fines and Suspends Former Barclays Rep Over Reimbursed Expenses
April 6, 2021
At its best, remorse demonstrates a pang of conscience. At its worst, it may arise only in anticipation that you are about to get caught. Contrition a... Read On
-
The Expungement Was Not Not Warranted But Still Denied
April 5, 2021
If your brokerage firm decides that a customer "communication" was a complaint, the drafting of a regulatory disclosure often involves a lot of interp... Read On
-
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
April 3, 2021
Guest Blog: Considering Breaking Away from a Wirehouse? / The Pros and Cons of Going Independent by Michael King of Michael King Associates (BrokeAndB... Read On