EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 24, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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SALES and SUPPORT JOBS>
  • Financial Advisor 

    NEW
    Cambridge, OH

    Company Description: industrial manufacturer Job Description: ~~Our client, a boutique Financial Services Firm is seeking to add a talented Financial Advisor to their team. We are...

    4 hours ago from ZipRecruiter
     
  • 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 client...

    5 hours ago from Geebo
     
  • Financial Advisor 

    NEW

    AXA Advisors

     - Woodbridge, NJ

    Company Description AXA Advisors LLC is a leading provider of financial services for consumers and businesses working with clients to help them define and pursue their financial...

    5 hours ago from Geebo
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Cleveland, OH

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

    5 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    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...

    11 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    CUSO - Northern Financial Services

     - Watertown, NY

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

    13 hours ago from Credit Union Jobs in New York
     
  • Financial Advisor 

    NEW

    Valic Financial Advisor Careers

     - Baltimore, MD

    : 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.

    21 hours ago from Baltimore Jobs
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Baltimore, MD

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

    22 hours ago from Baltimore Jobs
     
  • Financial Advisor 

    NEW

    First Command Financial Services

     - Mobile, AL

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

    1 day ago from First Command Financial Services, Inc.
     
  • 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! This...

    1 day ago from Zip Recruiter
     
  • FINANCIAL ADVISOR 

    NEW

    Investors Bank

     - Wantagh, NY

    ## Requirements SUPERVISORY RESPONSIBILITIES Ensure branch office and satellites operate within compliance standards. QUALIFICATIONS Bachelors degree or equivalent experience.

    1 day ago from Investors Bank
     
  • Financial Advisor 

    NEW

    American International Group

     - Battle Creek, MI

    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...

    1 day ago from American International Group
     
  • Financial Advisor 

    NEW

    American International Group

     - 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...

    1 day ago from American International Group
     
  • Financial Advisor 

    NEW

    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'...

    1 day ago from BMO Harris Bank
     
  • Financial Advisor 

    NEW

    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'...

    1 day ago from BMO Harris Bank
     
  • Financial Advisor 

    NEW

    BB&T

     - Birmingham, AL

    Auto req ID 32147BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Birmingham, AL - 2501 20th Place South Language Fluency English...

    2 days ago from BB&T
     
  • Financial Advisor 

    NEW

    PNC

     - Franklin, PA

    As a PNC Financial Advisor you will become part of PNC Investments, a specialized subsidiary of PNC Bank that provides products and services for individuals interested in...

    3 days ago from PNC
     
  • Financial Advisor 

    NEW

    Rehmann

     - Vero Beach, FL

    Rehmann Financial, a member of Rehmann, is a wealth management firm offering integrated advice in all areas of our clients' financial lives. Because most life goals have a...

    3 days ago from Rehmann
     
  • Financial Advisor

    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...

    7 days ago from ZipRecruiter
     
  • Financial Advisor

    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...

    7 days ago from ZipRecruiter
     
  • Financial Advisor

    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...

    9 days ago from ZipRecruiter
     
  • 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...

    9 days ago from ZipRecruiter
     
  • Financial Advisor

    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...

    9 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...

    9 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...

    10 days ago from ZipRecruiter
  • Compliance Officer 

    NEW

    Compliance Search Group

     - Chicago, IL

    Compliance Officer -Many Levels A Financial Services Firm seeks a number of Compliance ... complianceexperience. ADR experience would be Ideal. Swap dealer experience strongly...

    3 days ago from The Ladders
     
  • Compliance Officer

    Robert Half Finance & Accounting

     - New York, NY

    broker-dealer, and its insurance agency. The Compliance Officer will work closely with the ... Bachelors degree 7-10 years experience in broker-dealer and registered investment...

    7 days ago from Robert Half Finance & Accounting
     
  • Compliance Officer

    Accountemps

     - New York, NY

    individual to be a critical member of their Compliance team, reporting directly to the ... agency Responsibilities: -ensure the broker-dealer's written supervisory...

    10 days ago from Accountemps
     
  • Compliance Officer

    Streetid

     - Chicago, IL

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

    20 days ago from The Ladders
  • Ameriprise Financial

     - Boston, MA

    Programs including: Collaborate with Compliance colleagues to perform Annual ... investment advisor, investment company, and broker dealer regulations and business...

    6 hours ago from Global Risk Jobs
     
  • Compliance Analyst 

    NEW

    American International Group

     - New York City, NY

    a financial institution such as a broker/dealer, registered investment adviser, ... experience with investment advisory and/or broker/dealer compliance is preferred American...

    1 day ago from American International Group
     
  • Compliance Analyst 

    NEW

    John Hancock

     - Boston, MA

    The Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... account (PTA) information for non-access broker dealer registered persons including...

    1 day ago from John Hancock
     
  • Compliance Analyst 

    NEW

    Manulife

     - Boston, MA

    Compliance Analyst-1500564 Description The Wholesale Broker-Dealer Compliance Department ... include: Review and maintenance of broker dealer supervision hierarchy process...

    2 days ago from EasternMass
     
  • Compliance Analyst 

    NEW

    Kforce Inc.

     - Newark, DE

    U4/U5 recon) Complaints against Operation (Broker Service Center) RRs are consolidated ... directly, either oral or written with Broker/DealerCompliance Advisory, Licensing...

    2 days ago from CareerRookie.com
     
  • Compliance Analyst

    Kforce Inc.

     - Newark, DE

    U4/U5 recon) * Complaints against Operation (Broker Service Center) RRs are consolidated ... directly, either oral or written with Broker/DealerCompliance Advisory, Licensing...

    5 days ago from Kforce Finance & Accounting
     
  • Compliance Analyst

    AIG Financial Advisors

     - New York City, NY

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

    7 days ago from BrokerHunter.com
     
  • Compliance Analyst

    Marketcounsel

     - Englewood, NJ

    with investment advisor regulatory compliance, including the Investment Advisers ... Awareness of broker-dealerand/or hedge fund regulation is a plus...

    10 days ago from The Ladders
  • Private Banking Wealth Management Lawyer 

    NEW

    Multinational Financial Services Holding Company

     - New York City, NY

    and placement agent activities. The Attorney will also review marketing ... Finally, the Attorney will advise on various broker-dealer related matters for trading...

    22 hours ago from NY City Works
     
  • Counsel - Investment Advisers Act 

    NEW

    Ameriprise

     - Minneapolis, MN

    Financial the largest independent broker-dealer (IBD) in the managed account ... to 10 years of experience as a practicing attorney supporting the financial services...

    23 hours ago from Job.com
     
  • Attorney Investment Management focused 

    NEW

    Staffingforce

     - Boston, MA

    an Investment Management focused Associate Attorney with 4 - 6 years of experience ... funds, private funds, investment advisers, broker dealers, insurance companies and other...

    1 day ago from Job Spider
     
  • Compliance Examiner - Member Regulation, Membership Application Program 

    NEW
    New York City, NY

    membership applications, risk areas of broker-dealers and allegations of wrong-doing ... written and oral reports to broker-dealer executives, consultants/ counsel and...

    1 day ago from None
     
  • Managing Counsel Job 

    NEW

    BNY Mellon

     - New York City, NY

    Managing Counsel (Job Number: 1501181) BNY Mellon is a global investments company ... trade finance or mutual fund or broker dealer lending experience Cross-border...

    1 day ago from BNY Mellon
     
  • Compliance Examiner - Member Regulation, Membership Application Program 

    NEW

    Financial Industry Regulatory Authority

     - New York City, NY

    to broker-dealer executives, consultants/ counsel and FINRA management, including ... with opportunities to interact with broker-dealer and FINRA senior managers. To be...

    1 day ago from Financial Industry Regulatory...
     
  • Counsel for Private Banking and Lending 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    broker-dealer. Specific duties will include: - Advising the business on complex transactions and initiatives related to Lending - Coordinating with other attorneys and legal...

    1 day ago from IvyExec
     
  • Senior Counsel, Contracts and Transactions 

    NEW

    Post-trade Financial Services Company

     - Jersey City, NJ

    agreements. Engage and manage outside counsel as appropriate in connection with all ... entities such as banking institutions, broker-dealers or FCMs, exchanges or...

    1 day ago from IvyExec
     
  • FINRA Legal Internship, Office of General Counsel - Appellate Group 

    NEW

    Financial Industry Regulatory Authority

     - Washington, DC

    FINRA Legal Internship, Office of General Counsel - Appellate Group - Washington, DC ... and to authorize theirbroker-dealers to provide FINRA with duplicate statements for all...

    2 days ago from Financial Industry Regulatory...
     
  • Enforcement Counsel - Rockville 

    NEW

    Financial Industry Regulatory Authority (finra)

     - Potomac, MD

    individual for our Enforcement Counsel opening in Rockville, MD. Job ... the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...

    2 days ago from Just Jobs
     
  • VP & Counsel, M&A Advisory (00922160) 

    NEW

    Michael Page International - US

     - New York City, NY

    Details Investment Bank is seeking a VP & Counsel, M&A Advisory Attorney to Support the ... business of the investment bank and broker-dealer * Engagement letters, NDAs,. Conflicts...

    2 days ago from eFinancialCareers Ltd
     
  • Counsel - Investment Advisers Act 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    Financial the largest independent broker-dealer (IBD) in the managed account ... or eligible for admission as house counsel.The responsibilities for this position...

    3 days ago from Ameriprise Financial, Inc.
     
  • Attorney--Investment Management focused 

    NEW

    Lsj

     - Boston, MA

    an Investment Management focused Associate Attorney with 4 - 6 years of experience ... funds, private funds, investment advisers, broker dealers, insurance companies and other...

    3 days ago from ZipRecruiter
     
  • Litigation Paralegal

    Cetera Financial Group

     - New York City, NY

    Responsibilities 1. Supports deputy general counsel and litigation attorneys in all ... or other non-job-related criteria. About | Broker-Dealer Choices | Press Room | Careers...

    4 days ago from NY City Works
     
  • Trust and Estates Director

    Rosen Seymour Shapss Martin & Company

     - New York City, NY

    apparel, publishing & printing, insurance, broker dealers, solar energy, healthcare, ... lead the staff throughcounsel, guidance and coaching. Evaluate performance on client...

    4 days ago from NY City Works
     
  • VP & Counsel, M&A Advisory

    Michael Page International - US

     - New York City, NY

    business of the investment bank and broker-dealer Engagement letters, NDAs,. Conflicts ... with experience + Bonus potential VP & Counsel, M&A Advisory Attorney focusing on...

    5 days ago from eFinancial Careers
     
  • Trust and Estates Director

    Rosen Seymour Shapss Martin & Company

     - New York City, NY

    apparel, publishing & printing, insurance, broker dealers, solar energy, healthcare, ... lead the staff throughcounsel, guidance and coaching. Evaluate performance on client...

    5 days ago from ZipRecruiter
     
  • Insurance & Securities Regulatory Attorney (9686)

    New York Life Insurance Co

     - New York City, NY

    Assistant General Counsel will provide legal guidance on the following issues: ... on retail insurance, brokerdealer, and/or investment advisory issues. In-depth...

    6 days ago from New York Life Insurance Co
     
  • Macquarie Securities Group - Lawyer - Broker Dealer (New York)

    Macquarie Group

     - New York City, NY

    a full-service institutional cash equities broker in Australia, Asia, South Africa and ... brokerage legal experience to join the broker-dealer in New York. The role offers...

    6 days ago from NY City Works
     
  • Attorney

    Leading Provider of Insurance, Investments, and Retirement Products

     - Los Angeles, CA

    and negotiate investment advisory, broker-dealer , and other agreements Provide ... reviews for the investment adviser, and broker-dealer and recordkeeper. Assist on...

    7 days ago from IvyExec
     
  • Enforcement Counsel

    Finra

     - New York City, NY

    FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    7 days ago from NY City Works
     
  • Associate Attorney--Investment Management

    Lsj

     - New York City, NY

    as well as to investment advisers and broker-dealers. -Helping clients launch new ... third-party service provider agreements. -Counsel clients on Compliance rules and...

    7 days ago from NY City Works
     
  • BlackRock Corporate Counsel (Mutual Funds), Vice President

    BlackRock

     - New York City, NY

    and conducting training. Corporate Counsel for U.S. Mutual Funds We are ... Experience in broker-dealer and/or capital markets issues a plus...

    7 days ago from NY City Works
     
  • Investment Management Associate Senior Associate - Securities

    Lewis & Associates

     - Washington, DC

    private funds, investment advisers and broker-dealers turn to us for advice on their ... mutual funds, investment advisers and broker-dealers providing investment advisory...

    8 days ago from Lewis & Associates
  • Enforcement Counsel

    Finra

     - New York City, NY

    FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    7 days 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...

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

    Finra

     - New York City, NY

    FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... employee) and to authorize their broker-dealers to provide FINRA with duplicate statements...

    15 days ago from Disabled Persons