EMPLOYMENT TUESDAY at BrokeAndBroker.com

May 19, 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
  • Securities Business Manager 

    NEW

    M&t Bank

     - Buffalo, NY

    M&T Securities Securities Business Manager Buffalo, NY The Opportunity: Manage the operational proficiency and efficiency of Financial Consultants (FCs) within an assigned M&T...

    1 hour ago from Jofdav
     
  • Manager, Sales Planning & Strategy 

    NEW

    M&t Bank

     - Buffalo, NY

    M&T Securities Manager, Sales Planning & Strategy Buffalo, NY The Opportunity: Responsible to provide the strategic direction, oversight and management of the sales planning...

    1 hour ago from Jofdav
     
  • Securities Business Manager 

    NEW

    M&T Bank

     - Buffalo, NY

    M&T Securities Securities Business Manager Buffalo, NY The Opportunity: Manage the operational proficiency and efficiency of Financial Consultants (FCs) within an assigned M&T...

    1 day ago from M&T Bank
     
  • Manager, Sales Planning & Strategy

    M&T Bank

     - Buffalo, NY

    M&T Securities Manager, Sales Planning & Strategy Buffalo, NY The Opportunity: Responsible to provide the strategic direction, oversight and management of the sales planning...

    4 days ago from M&T Bank
     
  • Principal Review Desk Principal PCS

    Major Banking and Financial Services Company

     - Depew, NY

    Description This position reviews and supervises Private Client Services (PCS) investment trades and account applications for client suitability and ensure compliance with...

    4 days ago from IvyExec
     
  • Buffalo Financial Representative

    First Investors

     - Cheektowaga, NY

    Who we are . . . First Investors Corporation is a Wall Street-based financial services firm, established in 1930. We are proud of our long history of helping clients with their...

    9 days ago from CareerRookie.com
  • The Yield Book Help Desk Analyst

    Citi

     - Buffalo, NY

    insurance companies, banks, hedge funds and broker/dealers - value The Yield Book for the fast and broad access it provides to Citi's databases, financial models, analytical tools...

    5 days ago from Citi 
  • Financial Consultant 

    NEW

    AXA Advisors

     - Williamsville, NY

    and pursue their financial goals. It is a broker/dealer and the retail distribution channel for AXA Equitable Life Insurance Company(NY, NY), which provides life insurance and...

    1 day ago from ZipRecruiter
  • Investment Compliance Manager

    Marto Consulting

     - Buffalo, NY

    You will monitor new account reviews and make sure the business unit is in compliance with company and FINRA regulations. You will have interaction with sales teams, FINRA and...

    10 days ago from eFinancial Careers
  • Sr. Compliance Officer - Regulatory Monitoring 

    NEW

    M&t Bank

     - Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... for employees concerning underlying legal and regulatory requirements. The...

    1 hour ago from Jofdav
     
  • Sr. Compliance Officer - Regulatory Monitoring

    M&T Bank

     - Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... for employees concerning underlying legal and regulatory requirements. The position...

    4 days ago from M&T Bank
     
  • Compliance Specialist - Centralized Compliance

    Major American Commercial Bank

     - Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... at other institutions. Responsibilities: Legal & Regulatory Risk Ranking. Assists...

    6 days ago from IvyExec