EMPLOYMENT TUESDAY at BrokeAndBroker.com

September 16, 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!  

Sep 15Relationship Banker -Chase TowerJPMorgan ChaseMilwaukee, WI

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 15Chase Private Client - Private Client Advisor - Marietta/RoswellJPMorgan ChaseMarietta, GA

As a Chase employee you will be part of a company that makes a real difference every day ... help shape what is next for you and for us Chase Private Client Private Client Advisor...more

Sep 15A Relationship Banker -Chase Private Client Specialist- ForestJPMorgan ChaseDallas, TX

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 13Chase Private Client Banker - Bellaire Houston - HousonJPMorgan ChaseHouston, TX

continued employment in this position with JPMorgan Chase is contingent upon compliance ... on your behalf, to NMLS by JPMorgan Chase. Please carefully review the...more

Sep 12JPMorgan Securities | Marketing Assistant |JPMorgan ChaseChicago, IL

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

Sep 12JPMorgan Securities | Client Associate |JPMorgan ChaseNew York City, NY

About J.P. Morgan: JPMorgan Chase & Co. (NYSE:JPM) is a leading financial services firm with assets of over %242 trillion and operations in more than 60 countries. J.P. Morgan... more

Sep 08JPMorgan Securities | Client Associate |ChaseSan Francisco, CA

ple responsibilities, with a high degree of accuracy, in a high pressure environment.Highly proficient user of Word, PowerPoint and Excel JPMorgan Chase is an Equal Opportunity...more

Sep 08JPMorgan Securities | Branch Trainer |ChaseBoston, MA

About J.P. Morgan: JPMorgan Chase & Co. (NYSE:JPM) is a leading financial services firm with assets of over $2 trillion and operations in more than 60 countries. J.P. Morgan...more

Sep 08JPMorgan Securities | Client Service Associate |JPMorgan ChaseChicago, IL

Client service experience preferred JPMorgan Chase offers an exceptional benefits ... competitive compensation package. JPMorgan Chase is an Equal Opportunity and... more

Sep 07JPMorgan Private Bank - Executive RecruiterJPMorgan ChaseChicago, IL

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

Sep 05JPMorgan Securities | Branch Trainer |JPMorgan ChaseBoston, MA

About J.P. Morgan: JPMorgan Chase & Co. (NYSE:JPM) is a leading financial services firm with assets of over %242 trillion and operations in more than 60 countries. J.P. Morgan... more

Sep 12Financial 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

Sep 11Financial Advisor- Entry Level or ExperiencedSalt Lake City, UT

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

Sep 09CAREER 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

Sep 09SALES 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

Sep 09Financial Advisor - AXAAdvisorsAXA AdvisorsWalnut Creek, CA

BECOME A FINANCIAL PROFESSIONAL WITH AXA ADVISORS, LLC WHY AXA ADVISORS?AXA Advisors ... AXA Advisors, LLC is a subsidiary of AXA Financial, Inc. whose other subsidiaries... more

Sep 09DISTRICT 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

Sep 09Retirement Specialist - Sales $100KAXA AdvisorsSacramento, CA

Company Description: AXA Advisors, LLC, a subsidiary of AXA Financial, Inc. is a leading provider of financial services, helping consumers and businesses define and meet their...more

Sep 09ARE 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

Sep 09ENTRY LEVEL SALES REPAXA AdvisorsSan Francisco, CA

Company Description: Axa Advisors, LLC is a division of Axa Group, one of the 25 largest ... AXA Financial, Inc. and AXA Financial's strong family of brands, including AXAAdvisors,... more

Sep 09SERIES 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

Sep 09Entry Level Financial ProfessionalAXA AdvisorsSan Francisco, CA

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

Sep 09FINANCIAL PROFESSIONALAXA AdvisorsSan Francisco, CA

BECOME A FINANCIAL PROFESSIONAL WITH AXA ADVISORS, LLC WHY AXA ADVISORS?AXA Advisors LLC, ... AXA Advisors, LLC is a subsidiary of AXA Financial, Inc. whose other subsidiaries... more

Sep 09EXECUTIVE 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

Sep 08Financial Sales Professionals- Entry Level or ExperiencedAXA AdvisorsWoodbury, NY

5,000 financial professionals. AXA Advisors is an equal opportunity employer ... AXAAdvisors and AXA Equitable are part of the AXA Group, a worldwide leader in... more

Sep 08Financial Sales Professional- Retirement BenefitsAXA AdvisorsSacramento, CA

talented professionals to grow with us!AXA Advisors RBG financial professionals are ... deferred compensation (EDC) plans. AXA Advisors RBG financial professionals,... more

Sep 06Financial AdvisorAXA AdvisorsOklahoma City, OK

Entry Level or Experienced Description AXA Advisors is a leader in helping ... 5,000 financial professionals. AXA Advisors is an equal opportunity employer... more

Sep 04Recruiting InternshipAXA AdvisorsNew York City, NY

You want to be part of a dynamic and growing team Requirements:- You are currently working towards a bachelor s degree and are preferably a freshman Apply today to be considered... more

Sep 03Marketing ConsultantAXA AdvisorsBellevue, WA

I'm looking for a marketing person to help me with marketing and networking my financial advisory business to attract and retain clients. 20 hours a week to start and starting pay...more

Sep 03Financial Sales Professionals- Entry LevelAXA AdvisorsWellesley, MA

talented professionals to grow with us!AXA Advisors RBG financial professionals are ... today and build your career with AXA Advisors Retirement Benefits Group. AXAAdvisors,... more

Sep 03Financial Sales Professional - Entry LevelAXA AdvisorsSpringfield, MA

business and is part ofthe global AXA Group, AXA Group' refers to AXA, a French ... andAXA Financials strong family of brands, including AXA Advisors, LLC, AXA Equitable Lif...more

Sep 01Financial AdvisorNet Worth Management GroupMorristown, NJ

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

Sep 15Group Reporting AnalystAmericanInternational GroupHouston, TX

all strategic group report information in tracking system (Group Manager) Position ...International Group, Inc. (AIG) is a leading international insurance organization...more

Sep 10National General Adjuster - Private Client GroupAmericanInternational GroupLos Angeles, CA

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

Sep 07AVP Retirement Income Solutions Group, ProductAmericanInternational GroupCharlotte, NC

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

Sep 02International Head of Life ProductsAmericanInternational GroupHouston, TX

an International Head of Life Products. As International Head of Life Products, your ... Us American International Group, Inc. (AIG) is a leading international... more

Sep 02Regional VP, PartnersGroup (Career)AmericanInternational GroupHouston, TX

Senior Vice President of AIG's Partners Group, this position's primary focus is on ...Group, Inc. (AIG) is a leading international insurance organization serving... more

Sep 12Advisor- Thousand Oaks/HawaiiThrivent FinancialBakersfield, CA

Thrivent Financial, the marketing name for Thrivent Financial for Lutherans, Appleton, ... owned subsidiary of ThriventThrivent Financial representatives are registered...more

Sep 12Advanced Markets ConsultantThrivent FinancialMinneapolis, MN

solve, using the Thrivent Advice Process, financial problems for the representatives ... of new financial software to support the Thrivent Financial Advice process, in... more

Sep 12Strategic Initiatives Implementation Mgr (Thrivent Member NeThrivent FinancialAppleton, WI

organizing, developing, and implementing Thrivent Member Network (TMN) member social, ... Strategic Initiatives Implementation Mgr (Thrivent Member Network) *Location(s):*... more

Sep 11Inventory Control SpecialistThrivent FinancialWisconsin

results?<br /> <br />Thrivent Financial is looking for an analytical ... in people's lives. As an employee of Thrivent Financial, you will be part of an... more

Sep 11Business Systems Analyst (Enterprise Content Management)Thrivent FinancialWisconsin

in the image and workflow solution used at Thrivent Financial. This position allows you ... people's lives. As an employee of Thrivent Financial, you will be part of an incredible...more

Sep 10Office Professional - BaxterThrivent FinancialMinnesota

financial services representative of Thrivent Financial. He takes a broad-based ...financial strategy.<br /><br />Thrivent Financial is a faith-based,... more

Sep 10Cust Issue/Service Rep UNLThrivent FinancialWisconsin

would include contacting the member, FA (Financial Associate), internal business ... sensitive communications with customers and financial associates, which may include...more

Sep 10Sr Executive AssistantThrivent FinancialMinneapolis, MN

&lt;p&gt; Perform executive level administrative duties for a Divisional Vice President (DVP) requiring broad and comprehensive experience, skill, and knowledge of the... more

Sep 10Office ProfessionalBrent Fassett,Financial Rep ofThrivent FinancialBaxter, MN

financial services representative of Thrivent Financial. He takes a broad-based ... an integrated financial strategy.Thrivent Financial is a faith-based, not-for-profit... more

Sep 10Office ProfessionalChristopher Fenimore, 
FinancialRep of ThriventFinancial
San Diego, CA

financial services representative of Thrivent Financial. We take a broad-based ... an integrated financial strategy.Thrivent Financial is a faith-based, not-for-profit... more

Sep 09TIA Operations Support AssocThrivent FinancialMinneapolis, MN

and revision. Supports all aspects of Thrivent Insurance Agency's relationships ... timely resolution. This position will serve Thrivent's internal and external customer... more

Sep 08Strategic Initiatives Implementation Mgr (Thrivent Member Network)Thrivent FinancialMinneapolis, MN

Community Engagement team members and Thrivent Member Network regional boards, ... </li><li>Knowledge or experience in the financial services industry preferred. more

Sep 08Executive AssistantThrivent FinancialMinneapolis, MN

secretarial and administrative support to Thrivent Financial's VP, Workforce Services in the Management and People Solutions division. Responsibilities include handling... more

Sep 04Recruiting SpecialistThrivent FinancialLittle Rock, AR

Mississippi, Oklahoma and Tennessee.At Thrivent Financial, were proud of our unique ... find, attract, and engage candidates to join Thrivent Financial as Financial... more

Sep 04Financial AdvisorThrivent FinancialFarmington, MN

what's important to them. As a Thrivent Financial advisor, you become part of an ... guidance. What Thrivent Financial Offers At Thrivent Financial, we'll support your...more

Sep 02Office ProfessionalJenBecker, 
FinancialRepresentative Thrivent Financial
Faribault, MN

financial services representative of Thrivent Financial. We take a broad-based ... an integrated financial strategy.Thrivent Financial is a faith-based, not-for-profit... more

Sep 02Office ProfessionalGarden of the God's Group - ThriventFinancialColorado Springs, CO

financial services practice of Thrivent Financial. We take a broad-based approach to ... implement an integrated financial strategy.Thrivent Financial is a faith-based,... more

Sep 15Service Center StockbrokerScottradeWestminster, CO

Service Center Stockbroker - Westminster, CO Job ID: 20141507-9337 Description: Scottrade is seeking an energetic, career-minded professional to join our award-winning financial... more

Sep 15FINRA Intern, Office of RiskFinancial Industry Regulatory AuthorityWashington, DC

Title: FINRA Intern, Office of Risk - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual...more

Sep 13Compliance 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

Sep 13Analyst, Advertising Regulation - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified candidate for our Advertising Analyst opening in Rockville, MD. To be considered, please submit your... more

Sep 13Bilingual StockbrokerTrainee (Chinese / Mandarin)ScottradeSt Louis, MO

Bilingual Stockbroker Trainee (Chinese / Mandarin) - St. Louis, MO Job ID: 20143107-9436 Description: Scottrade is seeking an energetic, career-minded professional to join our...more

Sep 11Lead Developer - Technology - 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 Lead Developer opening in Rockville, MD. To be considered for this position,... more

Sep 11Systems 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 Systems Analyst opening in... more

Sep 10Case Assistant Manager - Dispute Resolution - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Case Assistant Manager opening in...more

Sep 10StockbrokerE1 Asset ManagementJersey City, NJ

Looking for highly intelligent, motivated, self starter, fast learner, energetic, creative and team player with a entrepreneurial qualities that is eager to succeed. Training... more

Sep 09Business 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

Sep 04Stockbroker/Financial AdvisorForte Capital GroupNew York City, NY

Company Description: Forte Capital is a full service, independent, brokerage firm located in the heart of the Financial District. We are small enough to give clients the... more

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Sep 10Director, Predictive Analytics Modeling - New York, New York, orFinancial 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 Director, Predictive Analytics... more

Sep 10Surveillance Director, Member Regulation Sales PracticeFinancial Industry Regulatory Authority (finra)Dallas, TX

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Surveillance Director opening in...more

Sep 10Analytics Model Developer - New York, NY orFinancial 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 Analytics Model Developer opening...more

Sep 05Staff 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 Security Engineer opening in Rockville, MD. To be considered for this... more

Sep 05Examination Manager, Member Regulation Sales PracticeFinancial Industry Regulatory Authority (finra)New Orleans, LA

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Examination Manager opening in New... more

Sep 05Examination Manager - Sales Practice, Member 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 Examination Manager opening in New York, NY. To be considered for this position,...more

Sep 05Attorney, Sales Practice PolicyFinancial 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 Attorney opening in New York, NY.more