EMPLOYMENT TUESDAY at BrokeAndBroker.com

January 13, 2015

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! 


SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    Cornerstone Financial Group

     - Renton, WA

    Job Description Best Jobs for Financial Advisors ranked in the Top Why choose Cornerstone Financial Group We are a values based sales organization that offers Hands on specialized...

    3 hours ago from Geebo
     
  • Financial Advisor 

    NEW

    Abrahamsen Group

     - Manasquan, NJ

    Abrahamsen Financial Group understands the importance of leveraging human capital and connecting great minds. We are hiring individuals who want to start a new career and be part...

    5 hours ago from Job Spider
     
  • Financial Advisor 

    NEW

    AXA Advisors

     - San Antonio, TX

    If you are interested in a rewarding career, please email your resume to cpkibl@job2r.com Our Vision, Your Opportunity Now is the time when the community needs financial awareness...

    17 hours ago from PostJobFree
     
  • Financial Advisor 

    NEW

    First Command Financial Services

     - Newport, RI

    First Command Financial Services is committed to helping American families get their financial lives squared away and pursue their goals and dreams through coaching and guidance...

    18 hours ago from Rhode Island Works
     
  • Financial Advisor 

    NEW

    Hoopis Financial Group

     - Chicago, IL

    Job Description: Not all financial services companies are the same. Product offerings, producer support, ongoing training and marketing vary widely. With Hoopis Financial Group of...

    19 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    American International Group

     - Portland, OR

    Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...

    20 hours ago from American International Group
     
  • Financial Advisor 

    NEW

    Xxi Century Financial

     - Tampa, FL

    Company Description: Impacting Lives Throughout Lifetimes is not just our firm's tag line, it is our core philosophy. As an organization, our common mission is to provide our...

    1 day ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Ally

     - Norwich, CT

    Requirements: 2 to 5 years experience 3 years experience of successful finiancial services sales Verifiable commission history of at least $150,000 Gross Dealer Concessions...

    1 day ago from Ally
     
  • Financial Advisor 

    NEW

    Abrahamsen Financial Group

     - Manasquan, NJ

    Abrahamsen Financial Group understands the importance of leveraging human capital and connecting great minds. We are hiring independent advisors, brokers and individuals (looking...

    1 day ago from ResumeBucket
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Akron, OH

    Company Description:Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities by...

    1 day ago from JOBS Employment Board
     
  • Financial Advisor 

    NEW

    American International Group

     - Fairbanks, AK

    Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...

    2 days ago from American International Group
     
  • Financial Advisor 

    NEW

    Financial Planning Services

     - Boise, ID

    Job Description: DESCRIPTION. Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for!...

    2 days ago from Jobg8
     
  • Financial Advisor 

    NEW

    Poppell Financial Group

     - Orlando, FL

    Company Description: We are a regional financial services firm serving the panhandle and central Florida. While many financial products offered by firms are similar, our customer...

    3 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Northern Financial Services

     - Watertown, NY

    Exciting Opportunity Available!A progressive, fastpaced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment...

    3 days ago from RegionalHelpWanted
     
  • Financial Advisor 

    NEW

    New York Life

     - Barnstable, MA

    Company DescriptionInsurance and Financial ServicesJob Description Financial Adviser / Registered Representative / Agent Career Description: Financial Professionals help clients...

    3 days ago from EasternMass
     
  • Financial Advisor

    Tax and Financial Group

     - Newport Beach, CA

    About TFG Founded over 45 years ago TFG was recognized by the Orange County Register as a Top Workplace. Click Here to read our press release. Featured in Forbes Magazine...

    4 days ago from Tax and Financial Group
     
  • Financial Advisor

    BMO Harris Bank

     - Kokomo, IN

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    6 days ago from BMO Harris Bank
     
  • Financial Advisor

    Rz Partners

     - Boston, MA

    Job Description The role of the Financial Consultant is to establish value-added relationships with customers, to understand their financial needs and to offer solutions for those...

    6 days ago from EasternMass
     
  • Financial Advisor

    BMO Financial Group

     - Kokomo, IN

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    7 days ago from Talentreef
     
  • Financial Advisor

    Technology Credit Union

     - San Jose, CA

    Technology Credit Union (TechCU) seeks a Financial Advisor based out of their San Jose Corporate offices and serving one or more local geographic markets and membership/client...

    7 days ago from CareerBuilder
     
  • Financial Advisor

    Donner-farber & Associates

     - Pittsburgh, PA

    Job is located in Somerset, PA. Financial Advisor Donner-Farber & Associates, Inc is searching for a Full-Time Financial Advisor to take over a existing book of business. This...

    7 days ago from CareerBuilder
     
  • Financial Advisor

    Boly:welch

     - Portland, OR

    In less than a decade, this enterprising financial services firm has had a five-fold growth in managed funds, with plans to expand nationwide. This is your chance to get in on the...

    7 days ago from Boly:Welch
     
  • Financial Advisor

    AXA Advisors

     - Dallas, TX

    BECOME A FINANCIAL PROFESSIONAL WITH AXA ADVISORS, LLC WHY AXA ADVISORS? AXA Advisors LLC, a provider of investment and insurance strategies, can help people define and pursue...

    7 days ago from AXA Advisors, LLC
     
  • Financial Advisor

    Seacoastbank

     - Orlando, FL

    Company Description: Headquartered in Martin County, FL, Seacoast Bank, a $3.0 billion Institution, is unrivaled among community banks and state wide regional banks alike!...

    8 days ago from ZipRecruiter
     
  • Financial Advisor

    New York Life

     - Barnstable, MA

    Company Description: Insurance and Financial Services Job Description: Financial Adviser / Registered Representative / Agent Career Description: Financial Professionals help...

    8 days ago from ZipRecruiter
  • Financial Advisor

    Thrivent Financial

     - Lancaster, PA

    Company Description: Thrivent Financial is a financial services organization that helps Christians be wise with money and live generously. We offer a broad range of products and...

    8 days ago from ZipRecruiter
     
  • Financial Advisor

    Williams Asset Management

     - Columbia, MD

    Company Description: Founded in 1994, Williams Asset Management is an award-winning, privately-owned investment advisory services and wealth management firm, located in Columbia,...

    9 days ago from ZipRecruiter
     
  • Financial Advisor

    BB&T Bank

     - Ocala, FL

    Essential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...

    10 days ago from Professional Diversity Network
     
  • Financial Advisor

    Stoever Glass & Co

     - New York City, NY

    With 50 years in the Municipal Bond industry, Stoever Glass & Co. has been focused on serving the fixed-income needs of our High Net Worth individual and Advisor clients. As a...

    12 days ago from BrokerHunter.com
     
  • Financial Advisor

    Geary Kornelik & Associates

     - Chicago, IL

    Company Description: About Geary Kornelik & Associates Geary Kornelik & Associates is a search and placement firm based here in Chicago that truly is "By bankers, for bankers".

    17 days ago from ZipRecruiter
     
  • Financial Advisor

    Cambridge, OH

    Company Description: Growing enterprise software company Job Description: ~~Our client, a boutique Financial Services Firm is seeking to add a talented Financial Advisor to their...

    18 days ago from ZipRecruiter
     
  • Financial Advisor

    Tax & Financial Group

     - Newport Beach, CA

    DESCRIPTION Are you seeking fulfillment? An opportunity as challenging as it is rewarding? As an Advisor at Tax & Financial Group, you will be responsible for building a business...

    21 days ago from Tax & Financial Group
     
  • Financial Advisor

    Northern Financial Services

     - Watertown, NY

    Company Description: A progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services...

    22 days ago from ZipRecruiter
     
  • Financial Advisor

    Ally

     - Norwich, CT

    Requirements: 2+ to 5 years of experience Bachelor's Degree Series 7 license Either 66 or 63/65 licenses Life/Health license We are seeking an uncommon professional to join our...

    26 days ago from Ally
     
  • Financial Advisor

    DMG Financial

     - Denver, CO

    Company Description: Our fast-growing organization of experienced financial professionals continues to grow from coast to coast. If you are an experienced financial professional...

    26 days ago from ZipRecruiter
     
  • Financial Advisor

    First Financial Bank

     - Columbus, OH

    The Financial Advisor (FA) serves as the new business development channel for retail banking center clients within Wealth Management. The FA is responsible for acquiring new...

    30+ days ago from First Financial Bank
     
  • FINANCIAL ADVISOR

    Investment Firm Providing Private and Institutional Brokerage

     - San Francisco, CA

    Job Description Our Financial Advisors are responsible for delivering responsible investment services and products to our clients in order to assist them in achieving their...

    30+ days ago from IvyExec
     
  • Financial Advisor

    Multinational Spanish Banking Group

     - Turlock, CA

    Responsibilities Provide financial advice and counseling to customers and prospects through the sale of mutual funds, government, municipal and corporate bonds, fixed and variable...

    30+ days ago from IvyExec
     
  • Financial Advisor

    BB&T

     - Nebraska

    Essential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...

    30+ days ago from BB&T Corp
     
  • Financial Advisor

    Hoopis Financial Group

     - Chicago, IL

    Not all financial services companies are the same. Product offerings, producer support, ongoing training and marketing vary widely. With Hoopis Financial Group of MassMutual,...

    30+ days ago from Hoopis Financial Group
     
  • Financial Advisor

    Trupp HR

     - Saint Helens, OR

    Licensed Financial Advisor at St. Helens Community Credit Union Join a winning Credit Union team! CUSO Financial Services, L.P. (CFS) offers credit union members full-service...

    30+ days ago from Trupp HR
     
  • Financial Advisor

    Colorado Credit Union

     - Safford, AZ

    Financial Advisor - Safford Nov. 05, 2014 - Nov. 05, 2015 Location: Safford, AZ Type: Full Time Company: Arizona State Credit Union Description: Strength of Partnership - Discover...

    30+ days ago from Colorado Credit Union
     
  • Financial Advisor

    USAA

     - Tampa, FL

    Apply Now! Candidates hired prior to February 2015 are eligible for a $3,000 sign on bonus & relocation assistance. We are currently seeking talented Licensed Financial Advisors...

    30+ days ago from USAA
     
  • Financial Advisor

    Arizona State Credit Union

     - Safford, AZ

    DESCRIPTION Strength of Partnership - Discover the Arizona State Credit Union Advantage If you have drive, ambition and are passionate about offering objective advice and...

    30+ days ago from Credit Union Job Network
     
  • Financial Advisor

    HBW Insurance and Financial Services

     - Brighton, MI

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

    30+ days ago from FindTheRightJob
     
  • Financial Advisor

    Keybank

     - Wenatchee, WA

    ABOUT KEY: Cleveland-based KeyCorp is one of the nation's largest bank-based financial services companies, with assets of approximately $92.9 billion. Key companies provide...

    30+ days ago from CareerBuilder
     
  • Financial Advisor

    Keybank

     - Wenatchee, WA

    ABOUT KEY: Cleveland-based KeyCorp is one of the nation's largest bank-based financial services companies, with assets of approximately $92.9 billion. Key companies provide...

    30+ days ago from Money Jobs
     
  • Financial Advisor

    North Texas Financial Group

     - Fort Worth, TX

    Experienced sales professionals: take your practice to the next level As a top producer, youve built a sizable practice delivering top value to your clients. Take your business to...

    30+ days ago from CareerBuilder
     
  • Financial Advisor

    Department of Workforce Services

     - Grand Junction, CO

    Why VALIC? At VALIC,our Financial Advisors assist clients in the education,healthcare and governmental sectors by partnering to plan for their retirement. Whether you re an...

    30+ days ago from Department of Workforce Services
     
  • Financial Advisor

    AIG Financial Advisors

     - Birmingham, AL

    Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.

    30+ days ago from BrokerHunter.com
  • Compliance Officer 

    NEW

    Financial Services

     - Greenwich, CT

    broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience ... commodities and derivatives trading and compliance issues, researching, interpreting...

    18 hours ago from ZipRecruiter
     
  • Compliance Officer

    Global Leader In Investment Management

     - Jersey City, NJ

    Further, subject matter expertise is required for brokerage operations, SEC/FINRA/OCC rule ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...

    5 days ago from IvyExec
     
  • Compliance Officer

    Tiaa-cref

     - New York

    Compliance Officer, Broker/Dealer Compliance Field Consulting Group and Insurance Distribu ... rules and regulations · On-going compliance monitoring and testing of the compliance...

    6 days ago from TIAA-CREF
     
  • Compliance Officer

    Human Resources Focused Consulting Firm

     - New York City, NY

    to business unit personnel to promote compliance - Provide compliance advice and ... investment advisor, and investment company compliance, risk management and industry...

    8 days ago from IvyExec
     
  • Compliance Officer

    Bank

     - New York City, NY

    and administering an institutional compliance program; developing and performing ... and risk assessments * Ability to draft compliance policies and procedures * FINRA...

    8 days ago from Green Key Resources
     
  • Compliance Officer

    Ameriprise Financial

     - Minneapolis, MN

    such as research, monitoring testing, compliance reporting's as assigned.Required ... * 1+ years' experience conducting compliance/advertising review for insurance, home and au...

    10 days ago from Professional Diversity Network
     
  • Compliance Officer

    European Leader In Global Banking and Financial Services

     - San Ramon, CA

    regulatory impacted materials Assists compliance manager on matters involving ... Liaise with Group and/or Division Compliance and Corporate Compliance Monitors major and c...

    10 days ago from IvyExec
     
  • Compliance Officer

    Craig Scott Capital

     - Uniondale, NY

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

    12 days ago from ZipRecruiter
  • Compliance Officer I 

    NEW

    Tiaa - Finance Industry

     - Charlotte, NC

    Act of 1940, FINRA and MSRB rules is required. Knowledge of plan regulations 403(b), ... attorney or former regulatory (SEC, FINRA) experience required, seven years'...

    15 hours ago from VelvetJobs
     
  • Compliance Officer I 

    NEW

    Tiaa-cref

     - Charlotte, NC

    Act of 1940, Investment Company Act of 1940, FINRA and MSRB rules is required. Knowledge ... attorney or former regulatory (SEC, FINRA) experience required, seven years...

    1 day ago from Job.com
     
  • Compliance Officer I

    Tiaa-cref | Financial Services®

     - Charlotte, NC

    Company Act of 1940, FINRA and MSRB rules is required. Knowledge of plan ... as a compliance professional,attorney or former regulatory (SEC, FINRA) experience...

    4 days ago from BrokerHunter.com
     
  • Compliance Officer I

    Tiaa-cref

     - Charlotte, NC

    Company Act of 1940, FINRA and MSRB rules is required. Knowledge of plan ... as a compliance professional,attorney or former regulatory (SEC, FINRA) experience...

    4 days ago from TIAA-CREF
  • Compliance Analyst

    AIG

     - New York City, NY

    and audits for investment advisors, and/or broker/dealer - Assist on special projects and ... a financial institution such as a broker/dealer, registered investment adviser,...

    5 days ago from InsuranceJobs.com
     
  • Compliance Analyst

    E*TRADE Financial

     - Jersey City, NJ

    of the Brokerage Compliance Department, the Compliance Analyst in Testing & Inspections ... or equivalent experience at a major broker-dealer or SRO strongly preferred *...

    10 days ago from Professional Diversity Network
     
  • Compliance Analyst

    Protective Life

     - Birmingham, AL

    Corporation, and is a Top 50 independent broker dealer serving financial advisors who ... Americans. In addition to the retail broker dealer, ProEquities has two divisions:...

    11 days ago from Protective Life
     
  • Compliance Analyst

    Protective Life -td

     - Birmingham, AL

    Corporation, and is a Top 50 independent broker dealer serving financial advisors who ... Americans. In addition to the retail broker dealer, ProEquities has two divisions:...

    12 days ago from CareerRookie.com
     
  • Compliance Analyst

    Depository Trust and Clearing

     - Tampa, FL

    Department/Area Function: The Compliance Department is responsible for compliance with leg ... environment, preferably in a banking or broker dealer organization plus Ability to...

    16 days ago from CareerBuilder

  • Independent Securities Regulator

     - New York City, NY

    The Counsel performs a variety of specific duties depending on the section to which ... capacity, or assist in representing the FINRA in disciplinary hearings as its staff...

    9 days ago from IvyExec
     
  • Enforcement Counsel

    Finra

     - Rockville, MD

    individual for our Enforcement Counsel opening in Rockville, MD. To be ... relevant rules and regulations thereunder, FINRA's rules, MSRB Rules, and FINRA's Code...

    7 days ago from FINRA
     
  • Enforcement Counsel

    New York City, NY

    Join our Team.FINRA is seeking a well-qualified individual for our Enforcement Counsel ope ... capacity, or assist in representing the FINRA in disciplinary hearings as its staff...

    19 days ago from None