EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 17, 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

    New York Life

     - Waltham, MA

    Career Description: Financial Services Professionals help clients identify and achieve their financial goals. New York Life Insurance Company and its affiliates are dedicated to...

    4 hours ago from Scuddle
     
  • 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...

    17 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Hilton Head, SC

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

    17 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Columbia, SC

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

    17 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    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...

    1 day ago from Geebo
     
  • Financial Advisor 

    NEW

    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 Our firm is...

    1 day ago from Geebo
     
  • Financial Advisor 

    NEW

    AXA Advisors

     - Williamsville, NY

    Company Description: AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    2 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    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...

    3 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    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...

    3 days ago from Heritage Federal Credit Union
     
  • Financial Advisor 

    NEW

    Xxi Century Financial

     - Atlanta, GA

    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...

    3 days ago from ZipRecruiter
     
  • 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!...

    3 days ago from Jobg8
     
  • 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'...

    4 days ago from BMO Financial Group
     
  • Financial Advisor

    AIG

     - Terre Haute, IN

    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...

    4 days ago from Money Jobs
     
  • Financial Advisor

    Space Coast Credit Union

     - Miami, FL

    Our Financial Services department is looking for a licensed Spanish speaking Financial Advisor with exceptional client service abilities to sell a full line of investment products...

    4 days ago from Certified Financial Planner Board of...
     
  • Financial Advisor

    AXA Advisors, Llc - Jamin

     - New York

    We are seeking highly motivated and achievement-driven individuals to join our growing team of approximately 5000 financial professionals. Entry level and experienced candidates...

    5 days ago from BrokerHunter.com
     
  • Financial Advisor

    Hoopis Financial Group

     - Deerfield, 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...

    5 days ago from ZipRecruiter
     
  • 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...

    5 days ago from ZipRecruiter
     
  • Financial Advisor

    AIG Financial Advisors

     - Albuquerque, NM

    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.

    5 days ago from BrokerHunter.com
     
  • Financial Advisor

    AIG

     - El Paso, TX

    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 AIG
     
  • 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...

    7 days ago from ZipRecruiter
     
  • 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...

    8 days ago from CareerRookie.com
     
  • Financial Advisor

    New York Life

     - Melville, NY

    Job Description: Financial Advisor New York Life Melville, NY PARTNER WITH US AND SEE YOUR CAREER GROW WITH NEW YORK LIFE GREATER LONG ISLAND OFFICE IN MELVILLE,NY! We are looking...

    9 days ago from ZipRecruiter
     
  • Financial Advisor

    Ally

     - Madison, WI

    Requirements: Bachelors Degree 2 to 5 years experience Series 7 License Series 66 or 63 and 65 license Life/Health license Experience selling securities/insurance Banking or...

    11 days ago from Ally
     
  • Financial Advisor

    Duffy Wealth Management

     - Seattle, WA

    At Duffy Wealth Management we commit our energies intellect and experience in helping to attain the financial goals of our clients by providing the highest level of service and...

    11 days ago from WisdomJobs.us
     
  • 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!...

    13 days ago from ZipRecruiter
  • Financial Advisor

    BMO Harris Bank

     - Plainfield, 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...

    13 days ago from Jobing.com
     
  • 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,...

    14 days ago from ZipRecruiter
     
  • 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...

    14 days ago from IvyExec
     
  • Financial Advisor

    Oregon Employment Department

     - 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...

    16 days ago from Oregon Employment Department
     
  • Financial Advisor

    Lake Michigan Credit Union

     - Livonia, MI

    Lake Michigan Credit Union is one of the largest financial institutions in Michigan and was established in 1933. We are seeking customer oriented individuals to join our team and...

    16 days ago from Lake Michigan Credit Union
     
  • Financial Advisor

    Cornerstone Financial Group

     - Renton, WA

    Job Description: Cornerstone Financial Group If you're tired of sitting on the sidelines and applying for dead-end jobs and are ready to embark on a stable, fast-paced career with...

    17 days ago from ZipRecruiter
     
  • Financial Advisor

    USAA

     - Tampa, FL

    We are currently seeking talented Licensed Financial Advisors for our Tampa, FL & call center. & The start date for this position is April 27th, 2015.Apply Now! Candidates hired...

    20 days ago from Jobing.com
  • Financial Services Representative 

    NEW

    Massmutual South Texas

     - Austin, TX

    Company Description:About MassMutualFounded in 1851, MassMutual is a leading mutual life insurance company that is run for the benefit of its members and participating...

    13 hours ago from JOBS Employment Board
     
  • Financial Services Representative

    Western and Southern Life

     - Houston, TX

    Job Description: About the Opportunity Did you know that nearly 10,000 Baby Boomers will reach retirement age every day for the next 19 years? Or that almost half of the...

    6 days ago from ZipRecruiter
     
  • Financial Services Representative

    Western and Southern Life

     - Thibodaux, LA

    Job Description: About the Opportunity Did you know that nearly 10,000 Baby Boomers will reach retirement age every day for the next 19 years? Or that almost half of the...

    6 days ago from ZipRecruiter
     
  • Financial Services Representative

    Financial Design Associates, Massmutual Financial Group

     - Savannah, GA

    Company Description: About Financial Design Associates A full-service financial services agency, Financial Design Associates provides life insurance, disability income insurance,...

    11 days ago from ZipRecruiter
     
  • Financial Services Representative

    Guardian Life Insurance Company

     - San Ramon, CA

    At the Guardian Life Insurance Firm in San Ramon CA, we are looking for talented people who want to take control of their career future. We offer the freedom to run your own...

    14 days ago from Guardian Life Insurance Company
     
  • Financial Services Representative

    AXA Advisors

     - Baltimore, MD

    Company Description: Broker-dealer and investment advisor for AXA Equitable, a member of the global AXA Group, a worldwide leader in financial protection and wealth management.

    19 days ago from ZipRecruiter
     
  • Financial Services Representative

    MetLife

     - Rockville, MD

    Description Financial Services Representatives (FSRs) are responsible for the marketing, sale and service of MetLife products that meet the needs of clients. Establish a financial...

    19 days ago from MetLife
  • Compliance Officer 

    NEW

    Robert Half Finance & Accounting

     - New York, NY

    broker-dealer, and its insurance agency. The Compliance Officer will work closely with the ... and registered investment adviser compliance Strong knowledge of FINRA and SEC...

    12 hours ago from Robert Half Finance & Accounting
     
  • Compliance Officer 

    NEW

    Global Leader In Investment Management

     - Lake Mary, FL

    Five Years AML / Compliance / KYC experience preferred ... Almanac, Negative News Searches, Pacer, FINRA, SEC, Secretary of State Websites, CFTC...

    3 days ago from IvyExec
     
  • Compliance Officer

    Alliancebernstein

     - New York City, NY

    The Compliance person ("Compliance") will assist in the review, ... compliance and business groups to providecompliance advisory services. Providing...

    7 days ago from Alliancebernstein
     
  • Compliance Officer

    Craig Scott Capital

     - Uniondale, NY

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

    17 days ago from ZipRecruiter
     
  • Compliance Officer

    Packerland Brokerage Services

     - Green Bay, WI

    Employer. Keywords: Compliancecompliance officer, supervisory, supervision, ... broker dealer, broker-dealer,broker/dealer, BD, B/D, advisor, adviser,...

    19 days ago from CareerRookie.com
  • Compliance Analyst

    John Hancock US

     - Boston, MA

    The Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... with theCompliance Director, the Compliance Analyst will be responsible for...

    13 days ago from John Hancock US
     
  • Compliance Analyst

    Manulife Financial

     - Boston, MA

    The Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... with theCompliance Director, the Compliance Analyst will be responsible for...

    13 days ago from Manulife Financial
     
  • Compliance Analyst

    American International Group

     - Houston, TX

    created within VFA Compliance to assist with compliance related tasks; such as running ... in securities and investment advisory compliance. Preferably FINRA licensed, 99, 6,...

    16 days ago from American International Group
     
  • Compliance Analyst

    AIG Financial Advisors

     - Houston, TX

    created within VFA Compliance to assist with compliance related tasks; such as running ... in securities and investment advisory compliance. Preferably FINRA licensed, 99, 6,...

    18 days ago from BrokerHunter.com
  • Compliance Director 

    NEW

    Leading Financial Services Firm

     - Philadelphia, PA

    operational areas to ensure compliance with FINRA and SEC rules and regulations. Directly ... Directly related experience in accounting, broker-dealer risk management, regulatory...

    2 days ago from IvyExec
     
  • Compliance Director

    Leading Insurance and Financial Services Company

     - Boston, MA

    Education/Experience Minimum of 6-8 years of sales literature compliance review Comprehens ... literature securities regulation (broker dealer primarily and investment...

    6 days ago from IvyExec
     
  • Compliance Director

    Manulife Financial

     - Boston, MA

    operation of the Wholesale Broker Dealer Compliance Department supporting the ... broker dealers and the Wholesale Broker Dealer Compliance Department. * As...

    13 days ago from Manulife Financial
     
  • Compliance Director

    John Hancock US

     - Boston, MA

    operation of the Wholesale Broker Dealer Compliance Department supporting the ... broker dealers and the Wholesale Broker Dealer Compliance Department. * As...

    13 days ago from John Hancock US
  • Enforcement Counsel 

    NEW

    Finra

     - New York City, NY

    individual for our Enforcement Counsel opening in New York, NY . To be ... FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing...

    23 hours ago from NY City Works
     
  • Enforcement Counsel

    Intercontinental Exchange

     - New York, NY

    independent, Enforcement Counsel will have responsibility for investigating, ... in-house litigators at broker-dealers/investment advisers; and member of both the...

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

    Finra

     - New York City, NY

    individual for our Enforcement Counsel opening in New York, NY . To be ... FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing...

    8 days ago from Disabled Persons
  • Senior Counsel 

    NEW

    Global Leader In Investment Management

     - Jersey City, NJ

    isrewarded based on company success. ASenior Counsel may have some administrative ... 6-10 years law firm experience representing broker dealers or otherfinancial services...

    3 days ago from IvyExec
     
  • Senior Counsel 

    NEW

    Major American Financial Services Company

     - Pittsburgh, PA

    banks, the retail and institutional broker dealers, and the mortgage company. The ... FINRA arbitrations; assisting the retail-broker dealer in the customer complaint...

    3 days ago from IvyExec