EMPLOYMENT TUESDAY on WEDNESDAY at BrokeAndBroker.com

January 21, 2015

Alas, we had some technical glitch with our Employment Page yesterday and have been advised by the content provider, Simply Hired, that all is now well and fine and (hopefully) working. Ever the cutting-edge, the BrokeAndBroker.com Blog has opted to boldly go where no man or woman has gone before and unilaterally declare that EMPLOYMENT TUESDAY is now offered on this Wednesday on a one-time only basis (limited to one per family, and, no, you may not apply multiple coupons to this offer). We appreciate that for some of our readers this is simply too jarring a development and we offer our sincere apologies for this disruption to your workweek. That being said, howsabout you just get over it? I mean, you know, for one lousy day in your otherwise droll life, isn't it exciting that we have gone and altered the space-time continuum so that you can find a job today that should have been posted yesterday but, in fact, since we have declared yesterday to be today, you are able to travel back in time to the future!

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

    New York Life

     - Barnstable, MA

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

    6 hours ago from EasternMass
     
  • 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!...

    16 hours ago from Jobg8
     
  • Financial Advisor 

    NEW

    American International Group

     - Charlottesville, VA

    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

    R. Knapp Financial

     - Peoria, IL

    Company Description: We are an independent financial services firm specializing in retirement plans and individual wealth management. We have experienced significant growth in the...

    2 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    American International Group

     - Bakersfield, CA

    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.

    3 days ago from American International Group
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Greenville, SC

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

    3 days ago from ZipRecruiter
     
  • 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...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    Mass Mutual

     - Newport Beach, CA

    Job Description: ~~Career changers: looking for a rewarding career? Are you looking for a career that will leverage your years of work experience, provide you an opportunity to...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    BMO Harris Bank

     - Westchester, IL

    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'...

    4 days ago from BMO Harris Bank
     
  • Financial Advisor

    Heritage Federal Credit Union

     - Newburgh, IN

    Description:Heritage Financial Services, Inc., is seeking an uncommon professional to join our team as a Financial Advisor. Heritage Financial Services, Inc., is a wholly owned...

    5 days ago from Heritage Federal Credit Union
     
  • Financial Advisor

    Vanguard

     - Charlotte, NC

    Vanguard, one of the world's largest investment management companies and a recognized employer of choice, seeks a Financial Advisor to develop and maintain an ongoing partnership...

    5 days ago from Vanguard
     
  • Financial Advisor

    BMO Financial Group

     - Westchester, IL

    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'...

    5 days ago from BMO Financial Group
     
  • Financial Advisor

    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...

    6 days ago from Rhode Island Works
     
  • Financial Advisor

    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...

    6 days ago from Oregon Employment Department
     
  • Financial Advisor

    USAA

     - Addison, TX

    Apply Now! Candidates hired prior to 2/23/15 are eligible for a $3,000 sign on bonus & relocation assistance. We are currently seeking talented Licensed Financial Advisor for our...

    6 days ago from USAA
     
  • Financial Advisor

    Abrahamsen Group

     - Manasquan, NJ

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

    7 days ago from Abrahamsen Group
     
  • Financial Advisor

    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...

    8 days ago from PostJobFree
     
  • Financial Advisor

    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...

    8 days ago from ZipRecruiter
     
  • Financial Advisor

    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...

    8 days ago from Ally
     
  • Financial Advisor

    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...

    8 days ago from ResumeBucket
     
  • Financial Advisor

    AXA Advisors

     - Oklahoma City, OK

    Financial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...

    10 days ago from CareerRookie.com
     
  • Financial Advisor

    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...

    10 days ago from ZipRecruiter
     
  • Financial Advisor

    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...

    11 days ago from RegionalHelpWanted
     
  • 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...

    11 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'...

    13 days ago from BMO Harris Bank
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Greenville, SC

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

    3 days ago from ZipRecruiter
     
  • Advisor- King County, Washington/Alaska

    Thrivent Financial

     - Bellevue, WA

    # Job Summary **Help Connect Faith and Finances as a Thrivent Financial advisor** What if your next career could change lives? What if you could succeed by helping others succeed?...

    4 days ago from Thrivent Financial
     
  • Financial Representative - Ft.Wayne

    Thrivent Financial

     - Fort Wayne, IN

    Company Description: At Thrivent Financial, we're more than a financial services organization' we serve our members and society by guiding them to be wise with money and live...

    4 days ago from ZipRecruiter
     
  • Regional Financial Sales Leader (Partner)

    Thrivent Financial

     - Kendallville, IN

    # Job Summary **Do you have a highly collaborative leadership work style?** **Are you passionate about strengthening communities by helping others?** **Do you want to work in an...

    4 days ago from Thrivent Financial
     
  • Advisor- King County, Washington

    Thrivent Financial

     - Fairbanks, AK

    # Job Summary **Help Connect Faith and Finances as a Thrivent Financial advisor** What if your next career could change lives? What if you could succeed by helping others succeed?...

    4 days ago from Thrivent Financial
     
  • Financial Advice Center Representative, Advice Team

    Thrivent Financial

     - Appleton, WI

    # Job Summary Come join an organization that makes a difference in people's lives. As an employee of Thrivent Financial, you will be part of an incredible and stable Fortune 500...

    10 days ago from Thrivent Financial
     
  • Licensed Office Professional

    Thrivent Financial

     - Prior Lake, MN

    # Job Summary **Organization/Business Overview:** The Keystone Group is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping...

    10 days ago from Thrivent Financial
     
  • Financial Advice Center Representative, Advice Team

    Thrivent Financial

     - Minneapolis, MN

    # Job Summary Come join an organization that makes a difference in people's lives. As an employee of Thrivent Financial, you will be part of an incredible and stable Fortune 500...

    10 days ago from Thrivent Financial
     
  • Financial Representative

    Thrivent Financial

     - Buffalo, NY

    Company Description: Thrivent Financial is Faith Based not for profit Financial Services organization. Thrivent is a Fortune 300 organization committed to excellence in financial...

    10 days ago from ZipRecruiter
     
  • Advisor-Omaha

    Thrivent Financial

     - Bellevue, NE

    # Job Summary **Help Connect Faith and Finances as a Thrivent Financial advisor** What if your next career could change lives? What if you could succeed by helping others succeed?...

    11 days ago from Thrivent Financial
     
  • Advisor

    Thrivent Financial

     - Omaha, NE

    # Job Summary **Help Connect Faith and Finances as a Thrivent Financial advisor** What if your next career could change lives? What if you could succeed by helping others succeed?...

    11 days ago from Thrivent Financial
     
  • Member Retention Advisor

    Thrivent Financial

     - Minneapolis, MN

    # Job Summary Come join an organization that makes a difference in people's lives. As an employee of Thrivent Financial, you will be part of an incredible and stable organization.

    11 days ago from Thrivent Financial
     
  • 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...

    16 days ago from ZipRecruiter
  • Investment Assistant - Private Client Direct 

    NEW

    JPMorgan Chase

     - Houston, TX

    The Private Client Direct business is a part of JPMorgan's Private Wealth Management business. Private Wealth Management (PWM) is a wealth management business of JPMorgan focused...

    6 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Brooklyn, NY - Russian Speaking Required (12 Brighton Beach Ave) 

    NEW

    JPMorgan Chase

     - Brooklyn, NY

    !Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    7 hours ago from NY City Works
     
  • Asset Management Latin America Private Bank Client Service Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    !JPMorgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net worth...

    7 hours ago from NY City Works
     
  • Anticipated Private Client Advisor - Chase Private Client - Bay Ridge Area 

    NEW

    JPMorgan Chase

     - Brooklyn, NY

    !Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    7 hours ago from NY City Works
     
  • Chase Private Client - Private Client Advisor - New York, NY (Park Ave & 32nd St) 

    NEW

    JPMorgan Chase

     - New York City, NY

    !Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    7 hours ago from NY City Works
     
  • Anticipated Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Las Vegas, NV

    Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...

    1 day ago from JPMorgan Chase & Co
     
  • Supervisory Manager - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Brooklyn, NY

    Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...

    1 day ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate - Sugar Land, TX (Sugarland) 

    NEW

    JPMorgan Chase

     - Sugar Land, TX

    Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and...

    2 days ago from JPMorgan Chase
     
  • Anticipated Private Client Advisor - Chase Private Client - Bay Ridge Area 

    NEW

    JPMorgan Chase

     - Brooklyn, NY

    Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    2 days ago from NY City Works
     
  • Chase Private Client Investment Associate 

    NEW

    JPMorgan Chase

     - Dallas, TX

    Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and...

    2 days ago from JPMorgan Chase
     
  • In-Store Personal Banker- Lewis Center, OH (Lewis Center Kroger) 

    NEW

    JPMorgan Chase

     - Lewis Center, OH

    Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...

    2 days ago from JPMorgan Chase
     
  • Chase Private Client Investment Associate - Sidney, OH (Sidney Main)

    JPMorgan Chase

     - Sidney, OH

    Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and...

    4 days ago from JPMorgan Chase
     
  • Asset Management - Private Bank- Investment Specialist - UHNW NJ

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Global Wealth Management /Investor/ Position Summary: The Investor combines the technical skills of portfolio managers with the communication and selling skills of...

    4 days ago from JPMorgan Chase
     
  • Business Development Executive, Commercial Banking Middle Market

    JPMorgan Chase

     - Minneapolis, MN

    Business Development Executive - Middle Market Middle Market Overview: JPMorgan Chase's Commercial Banking serves more than 25,000 clients, including corporations, municipalities,...

    4 days ago from JPMorgan Chase
     
  • In-Store Personal Banker - College Rd Albertsons Branch

    JPMorgan Chase

     - Lafayette, LA

    Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...

    4 days ago from JPMorgan Chase
     
  • Chase Private Client Investment Associate - Baton Rouge, LA (Baton Rouge Downtown)

    JPMorgan Chase

     - Baton Rouge, LA

    Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and...

    4 days ago from JPMorgan Chase
     
  • Private Banking, Client Service Associate, Chicago, Series 7 & 63 Required

    JPMorgan Chase

     - Chicago, IL

    *JPMorgan Private Bank*is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net worth...

    4 days ago from JPMorgan Chase
     
  • Chase Private Client - Private Client Advisor - Delray Beach, FL (George Bush & Federal)

    JPMorgan Chase

     - Delray Beach, FL

    *_Business Description:_* *_* *Chase*is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets...

    4 days ago from JPMorgan Chase
     
  • Private Client Service Specialist-Sales Support - Chase Wealth Management

    JPMorgan Chase

     - Columbus, OH

    The Chase Private Client (CPC) Service Specialist is responsible for delivering a superior service as we assist our advisors with the sales of bank managed products on the private...

    4 days ago from JPMorgan Chase & Co
     
  • Broker Service Center - Operations Section Manager

    JPMorgan Chase

     - Columbus, OH

    Operations Section Manager - Columbus Service Center This position will oversee a team of Service Center Associates to support the Chase Investment Service Center in Columbus for...

    4 days ago from JPMorgan Chase & Co
     
  • Broker Service Center - Operations Manager I

    JPMorgan Chase

     - Columbus, OH

    Operations Section Manager - Columbus Service Center This position will oversee a team of Service Center Associates to support the Chase Investment Service Center in Columbus for...

    4 days ago from JPMorgan Chase & Co
     
  • AM-Corporate Actions Oversight and Control Manager

    JPMorgan Chase

     - Newark, DE

    The Private Bank assists high-net-worth individuals in managing their wealth, by advising them on how best to configure their assets for maximum benefit, and by providing...

    4 days ago from JPMorgan Chase & Co
     
  • Investment Support Associate - Broker Service Center - Chase Wealth Management

    JPMorgan Chase

     - Columbus, OH

    Chase Wealth Management The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and thrive...

    5 days ago from JPMorgan Chase & Co
     
  • Compliance Director - Global Wealth Management Fiduciary

    JPMorgan Chase

     - New York City, NY

    JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of %242 trillion and operations in more than 60 countries. The firm is a leader in...

    5 days ago from JPMorgan Chase & Co
     
  • Client Service Associate - Private Banking - Series 7 & 63 Required

    JPMorgan Chase

     - Scottsdale, AZ

    *JPMorgan Private Bank*is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net worth...

    6 days ago from JPMorgan Chase
  • Compliance Officer 

    NEW

    Global Arena Capital

     - New York City, NY

    Compliance Officer role covering broker dealer businesses at retail broker dealer. Duties ... Prepare and administer the annual compliance meeting and firm continued...

    3 hours ago from NY City Works
     
  • Compliance Officer 

    NEW

    Leading Financial Services Firm

     - New York City, NY

    company s policies and procedures to ensure compliance with CFTC/NFA swap dealer ... at a major financial institution, registered broker-dealer, FCM, or one of the US...

    4 hours ago from IvyExec
     
  • Compliance Officer 

    NEW

    Financial Services

     - Greenwich, CT

    broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience ... NFA, a law firm, an exchange of another broker-dealer or FCM.Responsibilities...

    6 hours ago from Fairfield County Jobs
     
  • Compliance Officer

    Global Leader In Investment Management

     - Jersey City, NJ

    and inquiries; Design and deliver targeted compliance training; Research, investigate ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...

    13 days ago from IvyExec
     
  • Compliance Officer

    Robert Half International

     - Lynnfield, MA

    Broker/Dealer north of Boston is looking for a compliance principle. Must have a series 7, but will be required to get the series 24 upon hire. Will be responsible for the...

    13 days ago from Global Compliance Jobs
     
  • Compliance Officer

    Robert Half Finance & Accounting

     - Lynnfield, MA

    Broker/Dealer north of Boston is looking for a compliance principle. Must have a series 7, but will be required to get the series 24 upon hire. Will be responsible for the...

    14 days ago from Robert Half Finance & Accounting
     
  • 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 *...

    17 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:...

    18 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:...

    19 days ago from CareerRookie.com
  • ompliance Manager 

    NEW

    Prudential

     - Newark, NJ

    ad-hoc projects * Assist with Broker / Dealer Support ∑ At least five years of ... **Compliance** **Title:** **Compliance Manager** **Location:** **New Jersey-Newark**...

    2 days ago from Prudential
     
  • Compliance Manager

    Royce Ashland Group

     - San Ramon, CA

    as required Participates in Business Unit Compliance and Corporate Compliance projects ... 65) Strong knowledge of bank/broker-dealer compliance Compliance expertise in...

    4 days ago from The Ladders
     
  • Compliance Manager

    Prudential

     - Newark, NJ

    compliance officers to provide day-to-day compliance and business support. Specific ... ad-hoc projects Assist with Broker / Dealer Support ∑ At least five years of...

    4 days ago from Jofdav
     
  • Compliance Manager

    Bergan Recruiting

     - San Francisco, CA

    as required Participates in Business Unit Compliance and Corporate Compliance projects ... of bank/broker-dealer compliance Compliance expertise in investment advisory wrap...

    5 days ago from eFinancial Careers
     
  • Compliance Manager

    Connect Search

     - Chicago, IL

    Compliance Manager 4337 12/19/2014 Chicago Permanent We are seeking a Compliance Manager t ... adviser, investment company and broker-dealer. Primary responsibilities are...

    5 days ago from Connect Search, LLC.
     
  • Compliance Manager

    Global Leader In Investment Management

     - New York City, NY

    Candidate is expected to have extensive broker-dealer knowledge including but not ... 10 - 12 years relevant product/financial services and/or auditing or compliance experience...

    11 days ago from NY City Works
     
  • Compliance Manager

    Global Securities, Investment and Retail Banking Firm

     - San Francisco, CA

    The Compliance Manager position is for the Brokerage/Investment Advisor Compliance Departm ... Perform on-site compliance examinations of broker-dealer and investment advisory...

    13 days ago from IvyExec
     
  • Compliance Manager

    Streetid

     - Chicago, IL

    Compliance Manager to assist the Chief Compliance Officer in overseeing and carrying ... adviser, investment company and broker-dealer. Primary responsibilities are...

    13 days ago from StreetID
     
  • Compliance Manager

    Human Resources Focused Consulting Firm

     - Chicago, IL

    Compliance Manager to assist the Chief Compliance Officer in overseeing and carrying ... adviser, investment company and broker-dealer. Primary responsibilities are...

    14 days ago from IvyExec

  • Enforcement Counsel 

    NEW

    Intercontinental Exchange

     - New York City, NY

    from beginning to end; Coordinating with FINRA to transition enforcement ... program is fully independent, Enforcement Counsel will have responsibility for...

    7 hours ago from NY City Works
     
  • Enforcement Counsel

    Finra

     - Rockville, MD

    nepotism. About FINRA FINRA is an independent, non-governmental regulator for all ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA...

    4 days ago from Disabled Persons
     
  • 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...

    4 days ago from FINRA
     
  • Enforcement Counsel

    Intercontinental Exchange

     - New York City, NY

    to end; Coordinating with FINRA to transition enforcement responsibilities back to NYSE ... independent, Enforcement Counsel will have responsibility for investigating,...

    4 days ago from Intercontinental Exchange, Inc.
     
  • Enforcement Counsel

    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...

    16 days ago from IvyExec 
  • VP, Corporate Counsel

    Prudential

     - Newark, NJ

    and Compliance Departments to address any FINRA comments * Negotiate third-party ... Law** **Title:** **VP, Corporate Counsel** **Location:** **New Jersey-Newark**...

    15 days ago from Prudential