EMPLOYMENT TUESDAY at BrokeAndBroker.com

September 30, 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 28Anticipated Private Client Advisor - Chase Private ClientJPMorgan ChaseNaples, FL

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

Sep 29Asset Management -JPMorgan Private Bank - Capital Advisor - Vice PresidentJPMorgan ChaseDallas, TX

Asset Management - JPMorgan Private Bank - Capital Advisor - Vice President - Dallas, TX ... Management Capital Advisor Job Description JPMorgan Chase & Co. (NYSE: JPM) is a leading... more

Sep 29Asset Management -JPMorgan Private Client Direct - Trust Officer - Vice PresidentJPMorgan ChaseDallas, TX

JPMorgan fiduciary platform a plus JP Morgan Chase offers an exceptional benefits program ... JP Morgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V... more

Sep 29Statistical Analysis Manager - Chase Customer Analytics - Columbus, OHJPMorgan ChaseWilmington, DE

every 6 Americans. As a division of JPMorgan Chase & Co. (NYSE:JPM), we: serve 21 ... in corporate setting desired. JPMorgan Chase is an equal opportunity and... more

Sep 22Asset Management -JPMorgan Private Bank - Private Client Direct - Capital Advisor - Houston orJPMorgan ChaseDallas, TX

Client Direct business is a part of the JPMorgan Private Bank that is focused on servicing the banking and investment needs of high net worth clients who are currently maintaining... more

Sep 22Banker Associate - San Antonio, TX - JPMorganPrivate BankJPMorgan ChaseSan Antonio, TX

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets ... JP Morgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V.more

Sep 22Asset Management -JPMorgan Private Bank - Private Client Direct - Capital Advisor - Houston or DallasJPMorgan ChaseHouston, TX

Client Direct business is a part of the JPMorgan Private Bank that is focused on servicing the banking and investment needs of high net worth clients who are currently maintaining... more

Sep 19JPMorgan Securities | Client Associate, 7 & 63 or 66 |JPMorgan ChaseNew York City, NY

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

Sep 16JPMorgan Securities | Client Service Associate |JPMorgan ChaseChicago, IL

Client service experience preferred JPMorgan Chase offers an exceptional benefits program ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/Disability/Vet... 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 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 is a...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 is... more

ep 29Assoc Actuary, Projection Modeling - GroupRetirement & Fixed AnnuitiesAmericanInternational GroupHouston, TX

asset and liability modeling to support Group Retirement and Fixed Annuity business ... About Us American International Group, Inc. (AIG) is a leading international... more

Sep 28Regional VP, PartnersGroup (Career)AmericanInternational GroupHouston, TX

Vice President (RVP) for AIG's Partners Group is the central resource and relationship ... About Us American International Group, Inc... more

Sep 25Personal Accident GroupUnderwriting Manager- RegionalAmericanInternational GroupMiami, FL

operational management experience with group travel, AD&D and specialty insurance ... #LI-DH1 About Us American International Group, Inc. (AIG) is a leadinginternational... more

Sep 23Claims Analyst III - 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

Sep 22Financial Analyst, Rating Strategy & Group Capital ManagementAmericanInternational GroupNew York City, NY

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

Sep 19Assistant Tax Manager, U.S. International Tax Reporting and AnalysisAmericanInternational GroupNew York City, NY

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

Sep 18AVP Retirement Income Solutions Group, ProductAmericanInternational GroupCharlotte, NC

#LI-MS1 American International Group, Inc. (AIG) is a leading international insurance organization serving customers in more than 130 countries and jurisdictions. AIG companies... more

Sep 18Group Reporting AnalystAmericanInternational GroupHouston, TX

group report information in tracking system (Group Manager) Requirements: ? Bachelor's ... is preferred American International Group, Inc. (AIG) is a leading international...more

Sep 02VP & Actuary - GroupRetirement PricingAmericanInternational GroupHouston, TX

Plan new group acquisition Lead the Group Pricing team in the development, structuring, ... About Us American International Group, Inc. (AIG) is a leadinginternational insurance... more

Sep 02National General Adjuster - Private Client GroupAmericanInternational GroupLos Angeles, CA

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

Sep 26Sr Sales Comp Payment SpecialistMetLifeCharlotte, NC

update Commission/Agent information within MetLife proprietary systems. * Receives and ... of Openings 1 Equal Employment Opportunity MetLife is proud to be an equal... more

Sep 26Post Issue Rep IIIMetLifeCharlotte, NC

of Openings 2 Equal Employment Opportunity MetLife is proud to be an equal ... and inclusive workforce. It is the policy of MetLife to ensure equal employment... more

Sep 25Manager Software Development EngineeringMetLifeRaleigh, NC

About MetLife What you probably know about MetLife is that we are one of the world's ... Equal Employment Opportunity MetLife is proud to be an equal opportunity/affirmative...more

Sep 25Sr Claim Adjuster Casualty ClaimsMetLifeCharlotte, NC

of Openings 2 Equal Employment Opportunity MetLife is proud to be an equal ... and inclusive workforce. It is the policy of MetLife to ensure equal employment... more

Sep 25Document AnalystMetLifeCharlotte, NC

Openings 3 Equal Employment Opportunity MetLife is proud to be an equal ... inclusive workforce. It is the policy of MetLife to ensure equal employment opportunity... more

Sep 24IT Risk & Security Framework ConsultantMetLifeRaleigh, NC

of Openings 1 Equal Employment Opportunity MetLife is proud to be an equal ... inclusive workforce. It is the policy of MetLife to ensure equal employment opportunity... more

Sep 23Production Management ConsultantMetLifeRaleigh, NC

1 opening Equal Employment Opportunity MetLife is proud to be an equal ... successfully applied to the job. About MetLife What you probably know about MetLife is... more

Sep 23Sr IT Risk & Security ConsultantMetLifeRaleigh, NC

of Openings 1 Equal Employment Opportunity MetLife is proud to be an equal ... inclusive workforce. It is the policy of MetLife to ensure equal employment opportunity... more

Sep 22Senior Sales Instructional Designer IMetLifeCharlotte, NC

of Openings 2 Equal Employment Opportunity MetLife is proud to be an equal ... and inclusive workforce. It is the policy of MetLife to ensure equal employment... more

Sep 22Regional Market Account ExecMetLifeCharlotte, NC

sound financial decision making for MetLife and client organization. * Provides ... of Openings 1 Equal Employment Opportunity MetLife is proud to be an equal... more

Sep 22Broker Dealer Supervisor IIIMetLifeCharlotte, NC

Services Equal Employment Opportunity MetLife is proud to be an equal ... inclusive workforce. It is the policy of MetLife to ensure equal employment opportunity... more

Sep 19Underwriting ConsultantMetLifeCharlotte, NC

of Openings 2 Equal Employment Opportunity MetLife is proud to be an equal ... and inclusive workforce. It is the policy of MetLife to ensure equal employment... more

Sep 19Underwriter IIMetLifeCharlotte, NC

of Openings 1 Equal Employment Opportunity MetLife is proud to be an equal ... and inclusive workforce. It is the policy of MetLife to ensure equal employment... more

Sep 19Sr Database Administrator MS SQL ServerMetLifeRaleigh, NC

for a rewarding opportunity within MetLife's Global Technology and Operations team ... applied to the job. About MetLife What you probably know about MetLife is that we...more

Sep 18Agency Sales DirectorMetLife Empire GroupLatham, NY

Maintain a thorough knowledge of MetLife products and effectively transfer that ... and Legal Affairs inclusive of MetLife's good business practice processes. Escalate... more

Sep 17Lead Business Systems Analyst Digital MarketingMetLifeRaleigh, NC

MetLife's Enterprise Application Development Organization is vested in building Global ... Equal Employment Opportunity MetLife is proud to be an equal opportunity/affirmative...more

Sep 17Post Issue Rep IVMetLifeCharlotte, NC

of Openings 1 Equal Employment Opportunity MetLife is proud to be an equal ... and inclusive workforce. It is the policy of MetLife to ensure equal employment... more

Sep 16DB2 Database Administrator TRICAREMetLifeRaleigh, NC

is a requirement for certification. About MetLife What you probably know about MetLife is ... 1 Equal Employment Opportunity MetLife is proud to be an equal... more

Sep 15Internal Sales AssociateMetLifeCharlotte, NC

of Openings 12 Equal Employment Opportunity MetLife is proud to be an equal ... and inclusive workforce. It is the policy of MetLife to ensure equal employment... more

Sep 12Senior Business Systems AnalystMetLifeRaleigh, NC

Openings 1 Equal Employment Opportunity MetLife is proud to be an equal ... successfully applied to the job. About MetLife What you probably know about MetLife is... more

Sep 05Senior SiteMinder Single Sign On & Federation EngineerMetLifeRaleigh, NC

installation, modification and support of MetLife's access management solutions which ... solutions while ensuring compliance with MetLife's Information Security policies and...more

Sep 28Manager II - Member Relations and Education - 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, Member Relations and...more

Sep 27Assistant General Counsel, Corporate and IP AttorneyFinancial 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 Assistant General Counsel,... more

Sep 26Senior Vice President & Deputy Chief, Enforcement - 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 Senior Vice President & Deputy... more

Sep 24Senior Developer - 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 Developer opening in Rockville, MD. To be considered for this position,...more

Sep 23Associate District Director - Member Regulation, - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate District Director opening in Chicago, IL. To be considered for this... more

Sep 23Deputy Director - 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 Deputy Director- Member Regulation,Sales Practice opening in San Francisco, CA.more

Sep 23Examination Manager - Sales Practice, Member RegulationFinancial Industry Regulatory Authority (finra)Philadelphia, PA

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Examination Manager opening in Philadelphia, PA. To be considered for this... more

Sep 20Quality Coordinator III, Dispute ResolutionFinancial 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 Quality Coordinator I opening in New York, NY. To be considered for this... more

Sep 20Stockbroker / Financial Advisor / Stock Broker TraineeBroker DealerGreat Neck, NY

Company Description: Job Description: We are seeking self motivated positive individuals to join our team, and currently accepting applications for a limited number of senior...more

Sep 20Corporate Controller FINRAAppian StaffingTampa, FL

Company Description: Appian Staffing is a National recruiting firm that specializes in exceeding expectations by placing the top tier of candidates, and we offer among the top...more

Sep 19Senior Internal Auditor (Broker/Dealer, FINRA, SEC)New York City, NY

Job is located in Charlotte, NC. We are looking to fill audit opportunities and also accounting opportunities in the capital markets space, with our clients in... more

Sep 19Regulatory Analyst - Chicago Equities Surveillance - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

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

Sep 18Stockbrokers/Broker TraineesNew York Brokerage FirmWestbury, NY

Company Description: Job Description: We are currently searching for hardworking and self motivated individuals to join our newly expanded office. The role of trainee will allow...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

Sep 20Arbitrator Data Maintenance, Neutral Management, New York NYFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Arbitrator Data Maintenance opening in New York, NY. To be considered for this...more

Sep 20Director, Enforcement Center - 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 Director, Enforcement Center... more

Sep 19Lead Developer - Technology - Rockville, MD 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 Lead Developer opening in Rockville, MD or New York, NY. To be considered for...more

Sep 19Financial Operations Examiner - Market Regulation, Trading & Financial Compliance Examinations - 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

Sep 19Senior Architect - Rockville, MD 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 Architect opening in Rockville, MD or New York, NY. To be considered for...more

Sep 19Principal - Technology - Rockville, MD 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 Principal opening in Rockville, MD or New York, NY. To be considered for this...more

Sep 18Regulatory Analyst - Market Regulation-Market Manipulation 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

Sep 17Associate Quality Assurance 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 Associate Quality Assurance Analyst...more

Sep 16Entitlement Coordinator I - 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 Entitlement Coordinator I 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 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 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 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 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 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 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