EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 18, 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.
  

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Nov 17Financial ServicesRepresentative ITD BankHaverford, PA

com Job Description The Financial Services Representative FSR acts as an Insurance ... Individuals with Disabilities Financial Services Representative I Haverford... more

Nov 16Bilingual Financial ServicesRepresentative IHudson Valley Federal Credit UnionWappingers Falls, NY

first choice for a lifetime financial services partner. HVFCU is currently ... for a Bilingual (Spanish) Financial Services Representative located in... more

Nov 16Financial ServicesRepresentative I - Bayside Lakes - Part TimeTD BankPalm Bay, FL

com Job Description The Financial Services Representative FSR acts as an Insurance ... Veterans Individuals with Disabilities Financial Services Representative I Bayside...more

Nov 15Financial ServiceRepresentativeNot DisclosedNew York City, NY

Description: Popular Bank is searching for Financial Services Representatives. ... Spanish and Russian Financial Services Representative 1-2 Years of related... more

Nov 15Financial ServicesRepresentativeTD BankFlanders, NJ

communication skills Customer Services Representative experience helpful Developing ... Veterans Individuals with Disabilities Financial Services Representative Flanders... more

Nov 12Financial ServicesRepresentativeWestern and Southern LifeBeaumont, TX

are prepared for the future, but we need Financial Representatives with integrity, ... successful. In short, we need you! Our Financial Representatives help our middle market...more

Nov 12Financial ServicesRepresentative - Ready To HireMichael James Nationwide Insurance &Financial ServicesAgencyLawrenceville, GA

Michael James Nationwide Insurance and Financial Services Agency. I'm looking for a ... Michael James Nationwide Insurance and Financial Services Agency welcomes applicants...more

Nov 11Financial 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

Nov 09Financial ServicesRepresentative IIIHudson Valley Federal Credit UnionPoughkeepsie, NY

first choice for a lifetime financial services partner. HVFCU is currently ... recruiting for aFinancial Services Representative III. The successful candidate... more

Nov 17Private Client Advisor -Chase Wealth Management - San Antonio Area, TX (Bilingual Spanish Preferred, not Required)JPMorgan ChaseSan Antonio, TX

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) andChase ... to a broad range of Chase customers through Chase Investment Advisors. As aChase... more

Nov 17Private Client Advisor -Chase Wealth Management - Austin, TX (Downtown Area)JPMorgan ChaseAustin, TX

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) andChase ... to a broad range of Chase customers through Chase Investment Advisors. As aChase... more

Nov 17Chase Wealth Management - Financial AdvisorJPMorgan ChaseTemple, TX

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) andChase ... to a broad range of Chase customers through Chase Investment Advisors. As aChase... more

Nov 17Chase Private Client Banker - Hoffman Estates BranchJPMorgan ChaseHoffman Estates, IL

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

Nov 13Chase Wealth Management - Financial Advisor Associate - Wyandotte, MI (Biddle)JPMorgan ChaseWyandotte, MI

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) andChase ... to a broad range of Chase customers through Chase Investment Advisors. As aChase... more

Nov 13Chase Private Client Investment AssociateJPMorgan ChasePasadena, CA

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: ... Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase... more

Nov 13Lead Teller - Operations Specialist - Chase TowerJPMorgan ChaseLexington, KY

and operating within the guidelines of Chase's Code of Conduct. The Lead ... Saturday, and some evenings required JPMorgan Chase is an equal opportunity and... more

Nov 13Business Analyst II - ChaseMortgage BankingJPMorgan ChaseColumbus, OH

ritten and verbal communication skills. Strong time management and organizational skills.JPMorgan Chase is an equal opportunity and affirmative action employer... more

Nov 12Financial Advisor Associate - Chase Wealth Management - Midland AreaJPMorgan ChaseMidland, TX

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) andChase ... to a broad range of Chase customers through Chase Investment Advisors. As aChase... more

Nov 12Private Client Advisor -Chase Wealth Management - Midland AreaJPMorgan ChaseMidland, TX

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) andChase ... to a broad range of Chase customers through Chase Investment Advisors. As aChase... more

Nov 12Chase Private Client Investment Associate - Plainfield, IN (Stafford Pointe)JPMorgan ChasePlainfield, IN

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: ... Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase... more

Nov 12Chase Wealth Management - Financial Advisor Associate - Southwest TowerJPMorgan ChaseWichita Falls, TX

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) andChase ... to a broad range of Chase customers through Chase Investment Advisors. As aChase... more

Nov 07JPMorgan Securities | Client Associate, 7 & 66 |JPMorgan ChaseAtlanta, GA

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

Nov 07JPMorgan Securities | Branch Training Analyst |JPMorgan ChaseNew York City, NY

of PowerPoint, Word, Excel JPMorgan Chase offers an exceptional benefits program ...JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V... more

Nov 15Director: Enterprise ArchitectureAmeriprise FinancialMinneapolis, MN

product and technology architectures in a financial services company or similar ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 15Information Security Support SpecialistAmeriprise FinancialMinneapolis, MN

unity. So if you're talented, driven and want to work for a company that cares, put a rewarding career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe... more

Nov 15Senior Business AnalystAmeriprise FinancialMinneapolis, MN

* Project related experience with advisor, financial or brokerage applications. * ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 15Director, Strategic Sourcing - TechnologyAmeriprise FinancialMinneapolis, MN

under responsibility. 2) Work with Ameriprise offshore analytics team to ... career more within reach at Ameriprise Financial. VEVRAA Federal ContractorWe... more

Nov 15Client Service CoordinatorAmeriprise FinancialSalt Lake City, UT

Qualifications * Previous Ameriprise Experience. License(s) ... career more within reach atAmeriprise Financial. VEVRAA Federal ContractorWe... more

Nov 15Analyst - Strategic SourcingAmeriprise FinancialMinneapolis, MN

ur community. So if you're talented, driven and want to work for a company that cares, put a rewarding career more within reach at Ameriprise Financial. VEVRAA Federal... more

Nov 15Registered Support AssistantAmeriprise FinancialIrvine, CA

in servicing clients including preparing financial plans, conducting investment ... career more within reach at Ameriprise Financial VEVRAA Federal ContractorWe request... more

Nov 15Registered Operations LeaderAmeriprise FinancialChesterfield, MO

in serving clients including preparing financial plans, conducting investment ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 15Customer Professional II - LicensedAmeriprise FinancialMinneapolis, MN

service experience. - Product-specific or financial services industry experience.About ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 15Econometrician IIAmeriprise FinancialMinneapolis, MN

plays an integral role in supporting Ameriprise Information Management's (AIM) ... career more within reach at Ameriprise Financial. VEVRAA Federal ContractorWe... more

Nov 15Financial Advisor - Targeted Career ChangerAmeriprise FinancialKansas City, MO

career more within reach at Ameriprise Financial. Are you an accomplished ... to help high achievers create and build a Financial Planning practice with Ameriprisemore

Nov 14Ameriprise Information Management (AIM) InternAmeriprise FinancialPhoenix, AZ

competitive advantage to Ameriprise Financial by integrating information-based ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 13New Financial AdvisorAmeriprise FinancialHouston, TX

to help high achievers create and build a Financial Planning practice with Ameriprise. ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 13Ameriprise Advisor Center - ManagerAmeriprise FinancialLas Vegas, NV

capacity. - In-depth knowledge of Ameriprise Financial products and services; demonstrated ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 13Associate Financial AdvisorAmeriprise FinancialWellesley, MA

with a financial advisory practice of Ameriprise Financial. The associate financial ... by advisor, Ameriprise Financial and FINRA • Ability to support and provide guidance... more

Nov 13Financial Advice Regional Sales ConsultantAmeriprise FinancialMinneapolis, MN

financial advisor adoption and growth of financial planning and ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 13New Financial Advisor - East OrangeAmeriprise FinancialSaddle Brook, NJ

to help high achievers create and build a Financial Planning practice with Ameriprise. ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 12Director, Finance - LFOAmeriprise FinancialDepere, WI

financial support on complex issues for Ameriprise Auto & Home Insurance, including ... an Equal Opportunity Employer. Ameriprise Financial Services, Inc., Member FINRA and...more

Nov 10New Financial Advisor - Atlanta/BuckheadAmeriprise FinancialAtlanta, GA

to help high achievers create and build a Financial Planning practice with Ameriprise. ... career more within reach at Ameriprise Financial. VEVRAA Federal ContractorWe... more

Nov 07Advisor Center Professional - Entry into FinancialAdvisingAmeriprise FinancialLas Vegas, NV

- Entry into Financial Advising in the Ameriprise Advisor Center (AAC) is ... or secondary education - Knowledge of financial products/services and the financial... more

Nov 04New Financial Advisor - Quincy/Boston SouthAmeriprise FinancialBoston, MA

to help high achievers create and build a Financial Planning practice with Ameriprise. ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 03New Financial Advisor - OaklandAmeriprise FinancialSaddle Brook, NJ

to help high achievers create and build a Financial Planning practice with Ameriprise. ... career more within reach at Ameriprise Financial.VEVRAA Federal ContractorWe request... more

Nov 17Program Director- CharlesSchwab Investment Management(0819-19185)Charles SchwabCorporationSan Francisco, CA

(CSIM) to rapidly grow the Charles Schwab Investment Management business and ...Charles Schwab & Co., Inc. is an equal opportunity/affirmative action employer... more

Nov 17Charles Schwab Director, Executive Communications(0912-19611)Charles SchwabCorporationPhoenix, AZ

Our Opportunity: Charles Schwab Corporate Public Relations: The Charles SchwabCorporate P ... enterprise at Charles SchwabSchwab Advisor Services is the leading...more

Nov 172015 Schwab Intern Academy - Corporate Finance Track(0922-19743)Charles SchwabCorporationAustin, TX

Schwab Intern Academy is our centrally managed summer internship program for juniors/risin ... interns to engage directly in Schwab's culture of service while challenging themselves... more

Nov 17VP, Chief Investment Strategist, SchwabInvestment Advisory(1013-20169)Charles SchwabCorporationLone Tree, CO

Reporting to the President, Charles Schwab Investment Advisory (CSIA), the ... more about Life@SchwabCharles Schwab & Co., Inc. is an equal... more

Nov 17Sr. Team Manager, SchwabPrivate Client - Indianapolis(0619-13431)Charles SchwabCorporationIndianapolis, IN

advisor and an affiliate of Charles Schwab & Co., Inc. What you'll do: The Sr. ... more about Life@SchwabCharles Schwab & Co., Inc. is an equal... more

Nov 17Senior Product Manager -Schwab Advisor Center(1021-20296)Charles SchwabCorporationAustin, TX

Schwab Advisor Services, a division of Charles Schwab & Co., Inc. is the leading provider ... about Life@SchwabCharles Schwab & Co., Inc. is an equal opportunity/affirmative...more

Nov 17Manager, Fund Accounting,Charles SchwabInvestment Management (CSIM)(1028-20431)Charles SchwabCorporationLone Tree, CO

a subsidiary of The Charles Schwab Corporation, is one of the nation's largest asset ... Learn more about Life@SchwabCharles Schwab & Co., Inc. is an equal... more

Nov 172015 Schwab Intern Academy - Retirement Track(0918-19682)Charles SchwabCorporationAustin, TX

Schwab Intern Academy is our centrally managed summer internship program for juniors/risin ... Interns will assist Schwab professionals who build relationships with employers and... more

Nov 17Managing Director Business Continuity, Charles SchwabInvestment Management (CSIM)(1025-20374)Charles SchwabCorporationSan Francisco, CA

(CSIM), a subsidiary of The Charles Schwab Corporation, is one of the nation's largest ... about Life@SchwabCharles Schwab & Co., Inc. is an equal opportunity/affirmative...more

Nov 17Managing Director, Vendor Oversight and Index Management, CharlesSchwab Investment Management (CSIM)(1025-20375)Charles SchwabCorporationLone Tree, CO

and growing business within Charles Schwab Corporation. What you'll do: The Managing ... more about Life@SchwabCharles Schwab & Co., Inc. is an equal... more

Nov 13Digital Marketing Manager - Healthcare/Patient RecruitmentCommunispaceBoston, MA

About Communispace Communispace Corporation, www.communispace.com , headquartered ... including: Kraft, Hewlett-Packard, Charles Schwab, Hallmark, Unilever,...more

Nov 11Junior Designer, Post Grad InternCommunispaceBoston, MA

Communispace Communispace Corporation, www.communispace.com, headquartered in Boston, ... Hewlett-Packard, Charles Schwab, Hallmark, Unilever, GlaxoSmithKline, Hilton Hotels... more

Nov 05Sr. Risk Specialist I, CharlesSchwab Corporation TeamFederal Reserve Bank of MinneapolisSan Francisco, CA

Title: Senior Risk Specialist I/II, Charles Schwab Corporation Team Grade: 15-16 ... Federal Reserve Bank of San Francisco's, Charles Schwab Corporation (CSC) supervisory... more

Nov 05Sr. Risk Specialist I, CharlesSchwab Corporation TeamFederal Reserve BanksSan Francisco, CA

Title: Senior Risk Specialist I/II, Charles Schwab Corporation Team Grade: 15-16 ... Federal Reserve Bank of San Francisco's, Charles Schwab Corporation (CSC) supervisory... more

Nov 16Finance Tutoring/TeachingWyzant TutoringNew York City, NY

I am looking for a tutor to help me with the FINRA Series 86/87 financial analysis part of my exam. I anticipate multiple sessions with text material and homework. finance... more

Nov 14Chief Compliance Officer - Broker/Dealer - CCOSelby JenningsDallas, TX

I was just released a role with a Broker/Dealer that is looking to bring on a Chief Compliance Officer, CCO. This is a top firm in Dallas with massive growth possibilities. They... more

Nov 13Internal WholesalerBNY MellonNew York City, NY

The Internal Wholesaler's role is to actively solicit new investment product sales within an assigned geographic region through telephone presentations to registered... more

Nov 11Analyst/Associate - Investment BankingStout Risius RossChicago, IL

Stout Risius Ross (SRR) is a financial advisory firm that specializes in Investment Banking, Valuation & Financial Opinions, and Dispute Advisory & Forensic Services. SRR's... more

Nov 10Senior Business Analyst:-US registrations - NYCAqurate SolutionsNew York City, NY

Experience and knowledge of US registrations-FINRA. Must have 5 years of experience as BA Not required to be registered with FINRA.Dont need Traders or FINRA Agents Excellent...more

Nov 09Financial ParaplannerQCI Technical StaffingFort Wayne, IN

This full time Certified Financial Planner position is a support staff who will be responsible for the securities and investment administration of the firm. * Daily tracking of... more

Nov 09ASSOCIATE WEALTH ADVISORLee Sipe & AssociatesRockville, MD

Job Description: Growing Washington DC Area financial advisory firm seeks Associate Wealth Advisors to assist in managing the firm's clients. Requires FINRA Series 7, 63/65 or 66...more

Nov 08Licensed Registered Securities Office ProfessionalExpress Employment ProfessionalsSaint Cloud, MN

Professional career opportunity for Investment and Life Insurance experienced talent for the role of OSJ Principal. In this position, the best candidate will have 2-3 years... more

Nov 06Business Analyst - Cash Equities Products -ContractAxius TechnologiesNew York City, NY

Job Description - Should have worked with Cash Equities products - Must have good understanding of the Equities from the Front to back office - Should know about the rules related... more

Nov 04Financial AdvisorHBW Insurance and Financial ServicesBrighton, MI

Join a Winning Team! Qualified candidates must have or willing to pursue: •Licenses and Registrations: NASD/FINRA Series 6, 63, (65 or 66 preferred) and Life, Accident, Health &...more

Nov 03Compliance OfficerCraig Scott CapitalUniondale, NY

Job Description: Regulatory Compliance Officer Generalist with strong compliance background in retail Brokerage. Comprehensive understanding of SEC/FINRA Rules and Regulations. more

Nov 16Compliance Examiner - Member Regulation, Sales PracticeFinraDenver, CO

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

Nov 15Associate Director, Data Privacy & Protection - 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 Director, Data Privacy &...more

Nov 15Senior Regulatory Training Specialist, Business Solutions - 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 Regulatory Training... more

Nov 15Lead Regulatory Training Specialist, Business Solutions - 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 Lead Regulatory Training Specialist...more

Nov 15Senior Regulatory Training Specialist, Business SolutionsFinraRockville, MD

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

Nov 15Lead Regulatory Training Specialist, Business SolutionsFinraRockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Lead Regulatory Training Specialist...more

Nov 10Senior Software Cloud Security EngineerFinra - Financial Industry Regulatory AuthorityRockville, MD

We Work to Protect Investors Join our Team FINRA is seeking a well-qualified individual for our Senior Software Cloud Security Engineer opening 003482 in Rockville MD To be... more

Nov 04Financial Advisor /Stockbroker Trainee - Entry LevelCommerce One FinancialUniondale, NY

Job Description: What distinguishes highly successful people is their ability to capitalize on the right opportunity when it presents itself. The Financial Industry is growing and... more

Nov 03Sr. Customer Service Representative - FINRA Series 6/7LandacorpRichmond, VA

Sr. Customer Service Representative - FINRA Series 6/7 ID 2014-1571 Job Location US-VA-Richmond US-REMOTE Type Hidden (2049) Options: Apply for this job online Refer a friend to... more