EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 7, 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!  

Oct 07InvestmentCounselor/FinancialAdvisorBb&tAsheville, NC

prioritize investment goals; Match the best investment solutions available to clients' ... training sessions and coaching. Conduct investment product educational seminars for...more

Oct 06Trainee FinancialRepresentative/AdvisorThrivent FinancialCleveland, OH

Trainee Financial Representative/Financial Advisor - An Exciting Career for the Right Pers ... with Thrivent Financial as a financial representative. Have a satisfactory...more

Oct 05Financial AdvisorRedwood Credit UnionSanta Rosa, CA

for an Investment Advisor who will provide investment, retirement, and educational ...Financial Services and RCU. Assist Financial Advisor in preparing for Client meetings,...more

Oct 04Senior Financial AdvisoreTech HiTampa, FL

financial planner, financial representativefinancial services advisorfinancial ...investment consultant, investment advisors, investment product, independentfinancial... more

Oct 04Senior Financial AdvisorFirst Citizens BankBoone, NC

Senior Financial Advisor Use your LinkedIn Profile to help you apply faster! Apply with ... Services Position Description Senior Financial Advisors present and sell... more

Oct 03Matson Money is hiring forInvestment ServicesRepresentativeMatson MoneyMason, OH

Provide Service and Support to Financial Advisors Trading Facilitate Client ... Qualifications 2+ Years Financial Industry experience Series 65 - not required, but...more

Oct 02Financial Advisor -Investment AdvisorTransamericaFinancial AdvisorsSeattle, WA

families and business with their financial services needs. Part-time positions ... uncertain times, there is a shortage of financial advisors. Join our team of... more

Oct 06Branch Financial Advisor(192956)PNCDuluth, GA

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

Oct 06Branch Financial Advisor(196555)PNCOrlando, 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

Oct 06BRANCH FINANCIALADVISOR - Chagrin Falls, OH (194238)PNCChagrin Falls, 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

Oct 06Financial Solutions AdvisorUSAASan Antonio, TX

seeking talented Licensed Financial Advisor for San Antonio call center. The ... PURPOSE OF JOB As a Financial Advisor, you will help to ensure the financial security of o... more

Oct 05BRANCH FINANCIALADVISOR (196088)PNCWooster, 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

Oct 05BRANCH FINANCIALADVISOR (193968)PNCBoone, NC

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

Oct 05BRANCH FINANCIALADVISOR (194016)PNCDurham, NC

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

Oct 05BRANCH FINANCIALADVISOR (193967)PNCFranklin, NC

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

Oct 05BRANCH FINANCIALADVISOR - Greater Toledo, OH area (193167)PNCToledo, 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

Oct 04Entry Level FinancialAdvisor / Sales ConsultantUniversity RecruitersFrederick, MD

strategies for helpingclients meet their financial objectives. Answeringclients' ... expenses, insurance coverage, taxstatus, financial objectives, risk tolerance, and other... more

Oct 03BRANCH FINANCIALADVISOR (194522)PNCGurnee, 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

Oct 03BRANCH FINANCIALADVISOR - Canton, OH (196300)PNCCanton, 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

Oct 03Branch Financial Advisor(161309)PNCSouthgate, MI

affluent marketplace. As a Branch Financial Advisor, you immediately become an important ... As a Branch Financial Advisor, your challenge is to cultivate and growfinancial planning... more

Oct 01Financial Advisor -Financial Planner (Sales Account Manager)Cetera FinancialGroupMemphis, TN

courtesy, and professionalism Financial Advisor - Financial Planner (Sales / Account ... clients Financial Advisor - Financial Planner (Sales / Account Manager) -... more

Oct 06JPMorgan Securities | Marketing Assistant |JPMorgan ChaseAtlanta, GA

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

Oct 05Chase Private Client - Private Client AdvisorJPMorgan ChaseThe Villages, FL

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

Oct 06Claim Support TechnicianAmericanInternational GroupOlathe, KS

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

Oct 06Finance Manager - Global Consumer ExpensesAmericanInternational GroupNew York City, NY

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

Oct 06Connective Compliance ManagerAmericanInternational GroupGreensboro, NC

ernet-sourced lenders. United Guaranty was established in Greensboro, North Carolina, in 1963 and has been a company of American International Group, Inc. (AIG) since 1981. Move... more

Oct 04Financial 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

Oct 01Regional 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

Oct 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

Oct 04Architect - 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 Architect opening in New York, NY. To be considered for this position, please...more

Oct 04Senior Technology Manager - 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 Technology Manager opening in Rockville, MD or New York, NY. To be...more

Oct 02Regulatory Coordinator - Member Regulation, Sales Practice - New York, NY(Job Number: 003573)FinraNew York City, NY

Description Relocation assistance is available for exempt internal employees (lump sum allowance only). Exceptions to receiving a lump sum allowance require approval; contact your... more

Oct 02Compliance Examiner, Member Regulation Sales Practice - San Francisco, CA(Job Number: 003691)FinraSan Francisco, CA

Description Title: Examiner (Future Openings) Department: Member Regulation - Sales Practice Location: San Francisco District Office Grade: 43 to 47 Note: This is a Pipeline...more

Oct 02Financial Operations Examiner - Market Regulation, Trading & Financial Compliance Examinations - Chicago, IL(Job Number: 003676)FinraChicago, IL

Description Title: Financial Operations Examiner Department: Market Regulation, Trade Exams & Special Reviews Location: Chicago, IL Grade: 43-46 We Work to Protect Investors. Join... more

Oct 02Consolidated Supervised Entity Examiner - Member Regulation, ROOR - New York, NY(Job Number: 003452)FinraNew York City, NY

Job Summary : The Examiner conducts assignments on routine and special Consolidated Supervised Entity (CSE) examinations to assess member firms' risk management framework and... more

Oct 02Senior StockbrokerArjentNew York City, NY

Company Description: Arjent a leading boutique Investment firm based In Manhattan, New York offering a full service brokerage to Institutions and HNW Private Clients has an... more

Oct 02Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 002996)FinraNew York City, NY

We Work to Protect Investors. Join our Team. Job Summary : Conduct on-site examinations and assess member organization's financial and operational condition and compliance with... more

Oct 02Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Options- New York, NY(Job Number: 003500)FinraNew York City, NY

Description Title: Compliance Examiner Department: Market Regulation, Trade Exams & Special Reviews Options Location: New York, NY Grade: 43-46 We Work to Protect Investors. more

Oct 01Compliance Examiner, 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 Compliance Examiner opening in San Francisco, CA. To be considered for this...more