EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 14, 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 13Customer Sales and ServiceRepresentative-Auto InsuranceUSAASan Antonio, TX

Join our mission. As a Fortune 200 financial services organization, USAA is on a ... providing a full range of financial services and products. Headquartered on a showcase...more

Oct 13Financial ServicesRepresentative (Lake Pine)TD BankMedford, NJ

communication skills * Customer Services Representative experience helpful * ... with Disabilities. *Financial Services Representative (Lake... more

Oct 12Financial ServicesRepresentative-STARKVILLE MAINCadence Bank N.A.Starkville, MS

customers a full range of banking services with an emphasis on client needs. ... experience. Ability to sell products and services. Excellent communication and... more

Oct 12Financial ServicesRepresentativeWestern and Southern FinancialGroupNew Orleans, LA

ompany Description: Fortune 500 Company, Top Financial Ratings 125+ Years in the Industry ... Job Description: Outside Sales in the Financial Services Industry. Western &... more

Oct 12FINANCIAL SERVICESREPRESENTATIVELoyola University of ChicagoChicago, IL

POSTING DETAILS Job Title FINANCIAL SERVICES REPRESENTATIVE Position #: 8101376 Job Type: ... The requirements listed herein are representative of the knowledge, skills, and/or abiliti... more

Oct 12Financial ServicesRepresentativeTD BankEnglishtown, NJ

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

Oct 11Service Center FinancialService RepresentativeScottradeSaint Louis, MO

Service Center Financial Service Representative - St. Louis, MO Job ID: 20140710-9832 ... and experience preferred. * 1+ years financial services industry and customer... more

Oct 11FINANCIAL SERVICESREPRESENTATIVES/ ADVISORKey AdvisorsHarrisburg, PA

Job Description: FINANCIAL SERVICES REPRESENTATIVES/Advisor: Are responsible for selling f ... and fee based financial planning. Financial Services Representatives provide quality... more

Oct 10Financial Representative -Financial Services SalesWestern and Southern LifeBarberton, OH

Investment Advisors, Inc.1; IFS Financial Services, Inc.; Peppertree Partners LLC1; ... Touchstone Securities, Inc.2; W&S Brokerage Services, Inc.2; and W&S FinancialGroup... more

Oct 08Financial ServiceRepresentativeTransamericaFinancial AdvisorsSan Gabriel, CA

self-motivated individuals for the Sales Representative position to work in a ... families and business with their financial services needs. Part-time positions... more

Oct 08Customer Service Representative/FinanceCity of NaplesNaples, FL

GENERAL DESCRIPTION OF DUTIES: The purpose of the position is to perform routine to moderately complex account maintenance and customer service work for the City's utility...more

Oct 07Associate Financial ServiceRepresentativeE*TRADE FinancialAlpharetta, GA

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

Oct 06Licensed Financial ServicesRepresentativeAllstate FinancialRepJackson, MS

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

Oct 05Service Center FinancialService RepresentativeTraineeScottradeWestminster, CO

Service Center Financial Service Representative Trainee - Westminster, CO Job ID: ... while training to become a licensed Financial Services Representativemore

Oct 05Financial ServiceRepresentative ITD BankLowell, MA

The Customer Service Representative - Financial Service Representative In-Training ... with Disabilities. *Financial Service Representative I*... more

Oct 13Strategic Planning AssociateAIG Financial AdvisorsNew York

analyses<br /> Cross pollinate AIG PC knowledge and fact base with broader AIGCorporate ... about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig | Twitter:... more

Oct 11Senior Consultant - Business Systems AnalysisAIGCrockett, TX

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig|... more

Oct 11Senior Budget AnalystAIGCrockett, TX

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig|... more

Oct 11Manager - FP&A Performance ManagementAIGCrockett, TX

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig|... more

Oct 11Director of SharePoint Operations and SystemsAIGCrockett, TX

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig|... more

Oct 10Instructional Designer AIGGlobal Claims TrainingChartisinsuranceAlpharetta, GA

more than 130 countries and jurisdictions. AIG companies serve commercial, ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 10Director Risk- Financial Projections Operations Design/Del MgrAIGNew York City, NY

preferred *Familiarity with AIG About AIG American International Group, Inc. (AIG) ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig|... more

Oct 10Financial Representative-IndependenceAIG Financial NetworkCleveland, OH

more than 130 countries and jurisdictions. AIG companies serve commercial, ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 09Financial RepresentativeAIG Financial NetworkSpartanburg, SC

more than 130 countries and jurisdictions. AIG companies serve commercial, ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 09Enterprise ArchitectAIGCrockett, TX

organization experience #LI-DS1 About AIG American International Group, Inc. (AIG) ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig|... more

Oct 09AIG P&C Expense Analysis & Report, Senior Financial AnalystChartisinsuranceNew York City, NY

more than 130 countries and jurisdictions. AIG companies serve commercial, ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 09Economist, ScienceAIGNew York City, NY

for evidence-based decision-making at AIG. In partnership with AIG&apos;s ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig |... more

Oct 09Director Stress Testing, AIGLife & Retirement Risk Management- Houston-CCARChartisinsuranceHouston, TX

Analystics for AIG Life and Retirement (AIG L&R;) ERM have responsibility for the ERM ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 08AIG Programmer Analyst/Middleware AdministratorSuprasoftOakland, CA

ration. Demonstrated expertise with trouble shooting J2EE applications on UnixWindows systems. Experience with WebLogic, WebSphere, JBOSS, PuppetGit AIG, Middleware...more

Oct 08AIG P&C Expense Analysis & Report, Senior Financial AnalystAIG Financial AdvisorsNew York

more than 130 countries and jurisdictions. AIG companies serve commercial, ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 08Financial Representative -AIG Financial NetworkAIG Financial NetworkWalnut Creek, CA

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

Oct 07Senior Technical Specialist - San DiegoAIGCarlsbad, CA

AIGAmerican International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 07AIG/Enterprise Management Engineering Support -Business Objects Administrator and Crystal Reports DevelopmentRoss TechnologiesFort George G Meade, MD

AIG/Enterprise Management Engineering Support -Business Objects Administrator and Crystal ... TSslashSCI for version 3pointX to 4pointX AIG/Enterprise Management Engineering Support... more

Oct 05Director, Head of AIG ORM Integrated Risk AssessmentsChartisinsuranceNew York City, NY

This position reports to the Head of AIG ORM Program. AIG's ORM risk assessment ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig|... more

Oct 03Director, Head of AIG ORM Integrated Risk AssessmentsAIG Financial AdvisorsNew York

to the Head of AIG ORM Program. <br /><br />AIG's ORM risk assessment approach supports ... YouTube: www.youtube.com/aig | Twitter: @AIG_LatestNews | LinkedIn:...more

Oct 02Director, Head of AIG ORM Integrated Risk AssessmentsAccomplished International Insurance and Financial Services OrganizationNew York City, NY
Oct 13Relationship Banker/ ChasePrivate Client- Lake Worth JacksboroJPMorgan ChaseFort Worth, 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

Oct 12Chase Wealth Management - Market Director - Oakland/BerkeleyJPMorgan ChaseWalnut Creek, CA

Within Chase Chase Wealth Management encompasses our Chase Private Client CPC andChase ... our affluent clients concierge banking from Chase and access to the investment expertise... more

Oct 12Chase Private Client - Private Client Advisor - Hillsboro, OR (Orenco Station)JPMorgan ChaseHillsboro, OR

help shape what s next for you and for us JPMorgan Chase offers an exceptional benefits ... competitive compensation package JPMorgan Chase is an Equal Opportunity and Affirmative... more

Oct 12Chase Private Client - Private Client Advisor- Summit MallJPMorgan ChaseAkron, OH

help shape what s next for you and for us JPMorgan Chase offers an exceptional benefits ... competitive compensation package JPMorgan Chase is an Equal Opportunity and Affirmative... more

Oct 11Global Sales Director, Pan-HP - JPMorgan ChaseHPPalo Alto, CA

## Description HP creates new possibilities for technology to have a meaningful impact on people, businesses, governments and society. The world's largest technology company and... more

Oct 09JPMorgan Securities | Marketing Assistant |JP Morgan ChaseAtlanta, GA

<br><br> JPMorgan Chase offers an exceptional benefits program ... compensation package. <br><br> JPMorgan Chase is an Equal Opportunity and... more

Oct 09JPMorgan Securities | Administrative Assistant |JPMorgan ChaseNew York City, NY

skills JPMorgan Chase offers an exceptional benefits program and a highly ... JPMorganChase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V. more

Oct 09JPMorgan 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 09JPMorgan Securities | Administrative Assistant |JP Morgan ChaseNew York City, NY

skills <br><br> JPMorgan Chase offers an exceptional benefits program ... package. <br><br> JPMorgan Chase is an Equal Opportunity and Affirmative... more

Oct 06Anticipated Financial Advisor - Chase Wealth Management - Union SquareJPMorgan Chase &New York City, NY

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 09Compliance Examiner, Member RegulationFinancial Industry Regulatory Authority (finra)New Orleans, LA

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in New Orleans, LA. To be considered for this... more

Oct 07Undergraduate Intern - Internal Audit - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. 2015 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Oct 07Undergraduate Intern - Finance - Rockville, MD.Financial Industry Regulatory Authority (finra)Riverdale, IL

We Work to Protect Investors. Join our Team. 2015 Summer Internship Program FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the... 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 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 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

Oct 11Examination Manager - Membership Application Program, 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, Membership Application Program opening in New York, NY. To... more

Oct 10Case Administrator, Office of Hearing OfficersFinancial 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 Case Administrator opening in... more

Oct 10Compliance Analyst, Office of General CounselFinancial 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 Compliance Analyst opening with our...more

Oct 10Compliance Examiner - Member Regulation, Sales PracticeFinancial 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 Compliance Examiner opening in New York, NY. To be considered for this position,...more

Oct 09Undergraduate Intern - Jr. Developer - Technology - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. 2015 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Oct 09Regulatory Analyst - OFDMI-Fraud - 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 - Fraud opening in Rockville, MD. To be considered for this...more

Oct 09Service 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

Oct 08Finra Representative IIIManulife FinancialPortsmouth, NH

<span><font size="3">Signator Investors Inc., John Hancock's broker dealer, is a client focused organization that is looking for people that have a passion for service and an...more

Oct 08Regulatory Analyst - Market Regulation, Trading Analysis - Rockville,Md.Financial Industry Regulatory Authority (finra)Atlanta, GA

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

Oct 08Stockbroker, Series 7, National Firm - High Payout Will Train!Joseph Stone CapitalMineola, NY

Job Description: Stock Brokers Wanted (Will Train) Come work at the headquarters of an established national broker-dealer that caters to producing brokers. We are looking for...more

Oct 07StockbrokerRothschild LiebermanNew York City, NY

New York Broker Dealer with a 40 year history of success located in the heart of the financial district is currently seeking Stockbrokers who have their own books of business with... 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 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 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&apos; risk management framework and... 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 &amp; Special Reviews Options Location: New York, NY Grade: 43-46 We Work to Protect Investors. 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