EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 9, 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.
 

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SALES and SUPPORT JOBS
  • Financial Professional - NY, Woodbury (3161) 

    NEW

    AXA Advisors

     - Woodbury, NY

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - TX, Ft Worth (2717) 

    NEW

    AXA Advisors

     - Fort Worth, TX

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - CT, Milford (2301) 

    NEW

    AXA Advisors

     - Milford, CT

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - PR, San Juan (2747) 

    NEW

    AXA Advisors

     - San Juan, PR

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - NY, Rochester (2806) 

    NEW

    AXA Advisors

     - Rochester, NY

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - UT, Salt Lake City (3162) 

    NEW

    AXA Advisors

     - Salt Lake City, UT

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - NY, New York (3173) 

    NEW

    AXA Advisors

     - New York City, NY

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - OH, Columbus (2735) 

    NEW

    AXA Advisors

     - Columbus, OH

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - NY, Williamsville (3115) 

    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...

    1 day ago from ZipRecruiter
     
  • Financial Professional - Retirement Benefits Group - CA, Los Angeles (2817) 

    NEW

    AXA Advisors

     - Los Angeles, CA

    Job Description: Company Description. **Job Description** AXA Advisors' Retirement Benefits Group (RBG) is seeking a driven individual looking to grow their career in an industry...

    1 day ago from ZipRecruiter
     
  • Financial Professional - OH, Cincinnati (3253) 

    NEW

    AXA Advisors

     - Cincinnati, OH

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - TX, Dallas (2598) 

    NEW

    AXA Advisors

     - Dallas, TX

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - FL, Boca Raton (3276) 

    NEW

    AXA Advisors

     - Boca Raton, FL

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - NY, Woodbury (2471) 

    NEW

    AXA Advisors

     - Woodbury, NY

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - SC, Hilton Head (2668) 

    NEW

    AXA Advisors

     - Hilton Head, SC

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - OH, Akron (2704) 

    NEW

    AXA Advisors

     - Akron, OH

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - OR, Portland (3164) 

    NEW

    AXA Advisors

     - Portland, OR

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - OK, Oklahoma City (3098) 

    NEW

    AXA Advisors

     - Oklahoma City, OK

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - OH, Columbus (3140) 

    NEW

    AXA Advisors

     - Columbus, OH

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - TX, Fort Worth (2786) 

    NEW

    AXA Advisors

     - Fort Worth, TX

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - CA, San Francisco (2274) 

    NEW

    AXA Advisors

     - San Francisco, CA

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - CA, Middle Pennisula Area 

    NEW

    AXA Advisors

     - San Francisco, CA

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - Retirement Benefits Group - NV, Las Vegas (2672) 

    NEW

    AXA Advisors

     - Las Vegas, NV

    Job Description: Company Description. **Job Description** AXA Advisors' Retirement Benefits Group (RBG) is seeking a driven individual looking to grow their career in an industry...

    1 day ago from ZipRecruiter
     
  • Financial Professional - PA, Bethlehem (2812) 

    NEW

    AXA Advisors

     - Bethlehem, PA

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

    1 day ago from ZipRecruiter
     
  • Financial Professional - FL, Boca Raton (2310) 

    NEW

    AXA Advisors

     - Boca Raton, FL

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

    1 day ago from ZipRecruiter
  • Associate Financial Consultant - Tulsa, OK(20150603-2032) 

    NEW

    Charles Schwab Corporation

     - Tulsa, OK

    Tulsa - OK, BROKTL, 4111 S. Darlington, 74135-6334 Don Carlos Collins We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    8 hours ago from Charles Schwab Corporation
     
  • Centralized Supervision Manager - Fixed Income(20150604-2072) 

    NEW

    Charles Schwab Corporation

     - Indianapolis, IN

    Lone Tree - CO, DENR1, 9875 Schwab Way, 80124 Don Carlos Collins We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    8 hours ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Centralized Branch, Lone Tree, CO(20150601-2001) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Lone Tree - CO, DENR1, 9875 Schwab Way, 80124 Jessica Marie Martinez We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    13 hours ago from Charles Schwab Corporation
     
  • Vice President, Branch Manager - Sunnyvale, CA(20150603-2028) 

    NEW

    Charles Schwab Corporation

     - Sunnyvale, CA

    Sunnyvale - CA, BRCASV, 438 East El Camino Real, 94087-1938 Jessica Marie Martinez We believe that, when done right, investing liberates people to create their own destiny. We are...

    13 hours ago from Charles Schwab Corporation
     
  • Licensed Trading Specialist - optionsXpress 

    NEW

    Charles Schwab Corporation

     - Denver, CO

    Description: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every client's goals with...

    17 hours ago from BrokerHunter.com
     
  • Vice President, Financial Consultant - Midwest Branch Region 

    NEW

    Charles Schwab Corporation

     - Edina, MN

    Description: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every client's goals with...

    17 hours ago from BrokerHunter.com
     
  • Fixed Income Specialist - Regional Bond Desk 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Description:Lone Tree \- CO, DENR2, 9825 Schwab Way, 80124 Curtis A Crawford **We believe that** , when done right, investing liberates people to create their own destiny\. **We...

    17 hours ago from BrokerHunter.com
     
  • Sales Director, Managed Account and Alternative Investment(20150428-1563) 

    NEW

    Charles Schwab Corporation

     - Atlanta, GA

    Chicago - IL, IL150SW, 150 S Wacker Dr, 60606-4111 Curtis A Crawford We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    19 hours ago from Charles Schwab Corporation
     
  • Stock Plan Services Professional 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

    Phoenix - AZ, 850ESBNK, 2423 E. Lincoln Drive, 85016 Gennifer Lea Borgstedt We believe that,when done right, investing liberates people to create their own destiny. We are driven...

    2 days ago from Internship.com
     
  • Associate Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Memphis, TN

    Job Description: Description:Memphis \- TN, 381MS, Humphrey's Center, 38119. Veronica Vecchio. **We believe that** , when done right, investing liberates people to create their...

    2 days ago from ZipRecruiter
     
  • Vice President, Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Miami, FL

    Job Description: Description:Miami \- FL, BRFL1F, 1000 Brickell Ave, 33131\-3010. Christine S\. Lane. **We believe that** , when done right, investing liberates people to create...

    2 days ago from ZipRecruiter
     
  • Fixed Income Specialist - Regional Bond Desk(20150602-2018) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Lone Tree - CO, DENR2, 9825 Schwab Way, 80124 Curtis A Crawford We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    3 days ago from Charles Schwab Corporation
     
  • Director, Business Continuity 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

    Description:Phoenix \- AZ, PHXPEAK, 2423 E Lincoln Dr, 85016\-1215 Teresa Evelyn Flores **We believe that** , when done right, investing liberates people to create their own...

    3 days ago from BrokerHunter.com
     
  • Associate Financial Consultant - Chicago, IL (Wacker Dr) 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Description:Chicago \- IL, BRILLP, 150 S Wacker Dr, 60606\-4111 Michelle Lynn Huber **We believe that** , when done right, investing liberates people to create their own destiny\.

    3 days ago from BrokerHunter.com
     
  • Cashiering Team Lead 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    Description:Orlando \- FL, ORL2, 1958 Summit Park Dr, 32810 Christal Lynn Fortunato **We believe that** , when done right, investing liberates people to create their own destiny\.

    3 days ago from BrokerHunter.com
     
  • Vice President, Financial Consultant - Miami, FL(20150603-2037)

    Charles Schwab Corporation

     - Miami, FL

    Miami - FL, BRFL1F, 1000 Brickell Ave, 33131-3010 Christine S. Lane We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    4 days ago from Charles Schwab Corporation
     
  • Financial Consultant Assistant - Chicago, IL (Michigan Ave)(20150603-2038)

    Charles Schwab Corporation

     - Chicago, IL

    Chicago - IL, BRILCH, 430 N Michigan Ave, 60611-4011 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Memphis, TN(0604-23860)

    Charles Schwab Corporation

     - Memphis, TN

    Memphis - TN, 381MS, Humphrey's Center, 38119 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    4 days ago from Charles Schwab Corporation
     
  • Brokerage Service Representative(20150529-1991)

    Charles Schwab Corporation

     - Richfield, OH

    Richfield - OH, OHRICHST, 4199 Kinross Lakes Parkway, 44286 Maria Victoria Powers We believe that, when done right, investing liberates people to create their own destiny. We are...

    4 days ago from Charles Schwab Corporation
     
  • Client Service Specialist - Fort Collins, CO(20150603-2029)

    Charles Schwab Corporation

     - Fort Collins, CO

    Fort Collins - CO, BSCO5H, 2733 Council Tree Ave, 80525-6316 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We are...

    4 days ago from Charles Schwab Corporation
     
  • Estate Services Professional - Operations

    Charles Schwab Corporation

     - Phoenix, AZ

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    4 days ago from Internship.com
     
  • Vice President, Financial Consultant - Coral Gables, FL(20150603-2036)

    Charles Schwab Corporation

     - Coral Gables, FL

    Coral Gables - FL, BRFLCK, 110 Merrick Way, 33134-5236 Christine S. Lane We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    4 days ago from Charles Schwab Corporation
     
  • Sr Specialist - Organization Accounts

    Charles Schwab Corporation

     - Lone Tree, CO

    Description:Lone Tree \- CO, DENR2, 9825 Schwab Way, 80124 Amythest Nicole Jones **We believe that** , when done right, investing liberates people to create their own destiny\.

    4 days ago from BrokerHunter.com
     
  • Associate Financial Consultant- Oakland, CA (Sourcing Req)

    Charles Schwab Corporation

     - Oakland, CA

    Description:Oakland \- CA, BRCAOD, 1939 Harrison St, 94612\-3532 Jessica Marie Martinez **We believe that** , when done right, investing liberates people to create their own...

    4 days ago from BrokerHunter.com
     
  • Managing Director of Learning: STS, Operations and Learning Reporting

    Charles Schwab Corporation

     - Lone Tree, CO

    Description:Phoenix \- AZ, PHXPEAK, 2423 E Lincoln Dr, 85016\-1215 Julie Hoelsken **We believe that** , when done right, investing liberates people to create their own destiny\.

    4 days ago from BrokerHunter.com
  • JPMorgan Chase

     - Spring, TX

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Asset Management Latin America Private Bank Client Service Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    About JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include...

    7 hours ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - Canton 

    NEW

    JPMorgan Chase

     - Ohio

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Private Client 

    NEW

    JPMorgan Chase

     - Elkhart, IN

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • GWM - Supervisory Manager 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Global Wealth Management Supervisory Manager J.P. Morgan is a global leader in asset management services. J.P. Morgan Private Bank serves various client types through...

    2 days ago from JPMorgan Chase & Co
     
  • Asset Management - Global Wealth Management - Private Bank EHNW Group - Investment Specialist - ED/VP/Associate 

    NEW

    JPMorgan Chase

     - Dallas, TX

    J.P. Morgan Private Bank Investment Specialist Job Description J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments...

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Rolling Hills Estates 

    NEW

    JPMorgan Chase

     - Long Beach, CA

    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...

    2 days ago from JPMorgan Chase & Co
     
  • Investment Support Associate - Broker Service Center - FINRA Series 7 Required 

    NEW

    JPMorgan Chase

     - San Antonio, TX

    Chase Investment Services - Investment Support Associate I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted...

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor Associate - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Indianapolis, IN

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

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - 

    NEW

    JPMorgan Chase

     - Modesto, CA

    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...

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Franklin, WI

    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...

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Chase Private Client Investment Associate 

    NEW

    JPMorgan Chase

     - Indianapolis, IN

    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 %242.3 trillion and...

    2 days ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank - Emerging High Net Worth - Investment Specialist 

    NEW

    JPMorgan Chase

     - Indianapolis, IN

    J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Private Client - Centerville 

    NEW

    JPMorgan Chase

     - Dayton, OH

    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...

    2 days ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate 

    NEW

    JPMorgan Chase

     - Mineola, NY

    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 %242.3 trillion and...

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor Associate - Chase Wealth Management - Milwaukee, WI Area 

    NEW

    JPMorgan Chase

     - Milwaukee, WI

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

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor Associate - Chase Wealth Management - Northwest Chicago, IL (Schaumburg, Wheaton) 

    NEW

    JPMorgan Chase

     - Wheaton, IL

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

    2 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Portland, OR (Uptown)

    JPMorgan Chase

     - Portland, OR

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Chase Private Client Investment Associate - Northwest Chicago, IL (Schaumburg/Wheaton)

    JPMorgan Chase

     - Wheaton, IL

    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 %242.3 trillion and...

    4 days ago from JPMorgan Chase & Co
     
  • Asset Management Private Bank Latin America Private Bank Investment Specialist Southern Cone

    JPMorgan Chase

     - Miami, FL

    JPMorgan Private Banking Investor Job Description Primary Function As part of our team of specialists, the Investor is responsible for helping the Banker win new clients and...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management

    JPMorgan Chase

     - Brookfield, WI

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor Associate - Chase Wealth Management - Surrounding Chicago, IL Area (North Shore/Midway/Chicago Loop)

    JPMorgan Chase

     - Chicago, IL

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

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Chase Private Client Investment Associate - Surrounding Chicago, IL Area (North Shore, Midway, Chicago Loop)

    JPMorgan Chase

     - Chicago, IL

    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 %242.3 trillion and...

    4 days ago from JPMorgan Chase & Co
  • New Business Manager 

    NEW

    MetLife

     - Los Angeles, CA

    Job Description: Job Location. Los Angeles, CA Job Description. Provides administrative support to an insurance and financial services sales agency. ***Functional...

    2 days ago from ZipRecruiter
     
  • Managing Sales Director I 

    NEW

    MetLife

     - Orlando, FL

    Managing Sales Director SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of Senior Sales Leaders...

    3 days ago from InsuranceJobs.com
     
  • New Business Manager

    MetLife

     - California

    Job Location Los Angeles, CA Job Description Provides administrative support to an insurance and financial services sales agency. Functional Responsibilities: Responsible for the...

    4 days ago from MetLife
     
  • Post Issue Rep II

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Summary of Responsibilities: Responsible for communicating and obtaining NIGO (Not In Good Order) requirements for Financial and...

    4 days ago from MetLife
     
  • Internal Wholesaler Annuity
  • MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description This is the place to be to make an impact with an award-winning team that always puts its customers first. MetLife is taking giant...

    4 days ago from MetLife
     
  • Internal Sales Associate

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description This is the place to be to make an impact with an award-winning team that always puts its customers first. MetLife is taking giant...

    4 days ago from MetLife
     
  • Relationship Director Defined Contribution

    MetLife

     - Illinois

    Job Location Downers Grove, IL Greater Chicagoland Area Job Description Summary of Responsibilities The primary role of the Relationship Director - Defined Contribution is to...

    4 days ago from MetLife
     
  • Director Marketing Resources

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Summary: The Director - Marketing Resources is responsible for the development, execution and implementation of strategic marketing...

    4 days ago from MetLife
     
  • Director Sales Training & Development (SE Region)
  • MetLife

     - New York

    Alternate Location Marlyand Virginia North Carolina South Carolina Louisiana Mississippi Gerogia Alabama Florida Tennessee Virtual Location Managing the SE Region Job Description...

    4 days ago from MetLife
     
  • Life Fin & Inforce Analyst II
  • MetLife

     - Rhode Island

    Job Location Warwick, RI Job Description Job Summary: Responds to direct inquiries from policyholders, sales agents, state insurance departments, senior management and call center...

    4 days ago from MetLife
     
  • Marketing Consultant II Life Insurance

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Summary: MetLife is looking for a results-orientated marketer with strong interpersonal communication, organization, and leadership...

    4 days ago from MetLife
     
  • Financial Services Representative

    MetLife

     - Michigan

    Description At MetLife Premier Client Group, we are committed to providing clients with the holistic wealth and risk management solutions they need. Our Financial Services...

    4 days ago from MetLife
     
  • Advanced Markets Director

    MetLife

     - New York

    Job Location New York, NY Job Description SUMMARY OF RESPONSIBILITIES: The Advanced Markets Specialist position provides traditional Advanced Markets Support including Case...

    4 days ago from MetLife
     
  • Internal Wholesaler - Annuity
  • MetLife

     - Charlotte, NC

    Job Location Charlotte, NC Job Description **This is the place to be to make an impact with an award-winning team that always puts its customers first. MetLife is taking giant...

    4 days ago from job.com
  • OSJ Manager 

    NEW

    Leading Provider of Insurance, Investments, and Retirement Products

     - Duluth, GA

    assigned to the OSJ Manager for all broker dealer and investment advisory ... compliance, suitability issues,securities products and FINRA regulations required.

    1 hour ago from IvyExec
  • Sr. Compliance OfficerBroker Dealer (consultant) 

    NEW

    Mla Global

     - Essex County, NJ

    candidate will serve as Compliance Officer for the regulated broker-dealer ... and monitoring regulatory and legalcompliance for Broker-Dealer activity.

    13 hours ago from MLA Global
     
  • Vice President, Compliance 

    NEW

    CRT Capital Group

     - Stamford, CT

    role, you will partner with the Chief Compliance Officer to ensure that CRT is ... either via the firm's automatedcompliance applications or through manual monitoring...

    19 hours ago from eFinancial Careers
     
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    Ameritas

     - Bethesda, MD

    of 1940, Securities Act of 1933, Securities Exchange Act of 1934, FINRA Rules of Fair ... senior compliance officerready for the next step in his/her career. Project management...

    21 hours ago from Ameritas
     
  • Managing Compliance Counsel, Broker Dealer 

    NEW

    Provider of Business Outsourcing Solutions

     - Roseland, NJ

    representatives of receipt of ADP Broker-Dealer, Inc. compliance policies). Interact ... specific experience supporting broker-dealer compliance. PREFERRED QUALIFICATIONS:...

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  • Manager, Securities Compliance 

    NEW

    Diversified Insurance Services Firm

     - Denver, CO

    that govern the Company's broker/dealer affiliate, summarizing impact and ... requirements as well as of mostBroker Dealer compliance department activities...

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  • Regional Compliance Director 

    NEW

    Major Investment Management Firm

     - Omaha, NE

    Prefer 2+ years in compliance position. FINRA Series 7, 24 required. FINRA Series 53 ... and agency level. Knowledge of securities broker dealer operations and registered...

    1 day ago from IvyExec
  • Compliance Officer - Markets/Equity Derivatives (Vice President) 

    NEW

    Top Tier Financial Services Company

     - New York City, NY

    of a sophisticated full service broker/dealer oriented toward Institutional clients. ... trading. Assist in the preparation of Compliance reports for Compliance Management,...

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  • Vice President, Compliance (00937246) 

    NEW

    CRT Capital Group

     - Stamford, CT

    role, you will partner with the Chief Compliance Officer to ensure that CRT is ... and initiatives (e.g. annualcompliance program testing, system enhancements and new...

    1 day ago from eFinancialCareers Ltd
     
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    NEW

    Securities and Exchange Commission

     - Washington, DC

    Industry Regulatory Authority ("FINRA"), the Municipal Securities Rulemaking ... and applying the provisions of the Securities Act of 1933, the Securities and...

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    NEW

    Mercantil Commercebank

     - Miami, FL

    activity to the Wealth Management BSA/AML Compliance Officer. * Understand complex ... * Coordinate with the Wealth Management BSA/AML Compliance Officer, Account Officers, Regi...

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  • Director of Compliance 

    NEW

    Regulatory Compliance

     - New York City, NY

    Previous regulatory experience (at the SEC, state or FINRA) and /or compliance consulting ... ComplianceOfficer, FINOP, Exams for BD and IA firms, regulatory bodies (FINRA and the...

    3 days ago from Regulatory Compliance
     
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    Hanson McClain Advisors

     - Sacramento, CA

    broker-dealer / investment adviser issues, FINRA, SEC, state securities and insurance ... We are a FINRARegistered Broker/Dealer and SEC Registered Investment Advisor providing in...

    3 days ago from Hanson McClain Advisors
     
  • Compliance Director, Broker-Dealer Job

    CUNA Mutual Group

     - Waverly, IA

    Responsibilities: Working with the Chief Compliance Officer, lead the Compliance program ... Ten plus years in increasingly responsible Compliance functions with a broker/dealer and R...

    4 days ago from CUNA Mutual Group
     
  • VP Premier Relationship Manager

    HSBC - Finance Industry

     - Forest Hills, NY

    Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...

    4 days ago from VelvetJobs
     
  • Intelligence Compliance Officer

    Leading Provider of Insurance, Investments, and Retirement Products

     - Saint Petersburg, FL

    Procedures in accordance with FINRA Rule 3130. Assist RIA Compliance in ... working for a broker/dealercompliance and/or legal department Financial...

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  • VP Cluster Branch Manager

    HSBC - Finance Industry

     - New York City, NY

    appropriate FINRA registrations under HSBC Securities (USA) Inc. ("HSI"). Refer ... Business ComplianceOfficer, Area Compliance Officer or Local Compliance Officer,...

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  • AVP Premier Relationship Manager

    HSBC - Finance Industry

     - New York City, NY

    Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Officer, Area ComplianceOfficer or Local Compliance Officer. The term...

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  • AWM Investment Advisor - Compliance Officer

    Deutsche Bank

     - New York City, NY

    AWM Investment Advisor \- Compliance Officer **Job ID:** 3112233 **Full/Part\-Time:** Full ... Deutsche Bank Securities Inc\., a registered broker\-dealer and investment advisory firm\.

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  • Ameriprise Financial

     - Minneapolis, MN

    Ameriprise Financial the largest independent broker-dealer (IBD) in the managed account ... Minnesota or eligible for admission as house counsel. Preferred...

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  • Managing Compliance CounselBroker Dealer 

    NEW

    Provider of Business Outsourcing Solutions

     - Roseland, NJ

    FINRA, and advise the business unit of any broker dealer firm that has withdrawn or has ... registered representatives of receipt of ADP Broker-Dealer, Inc. compliance policies).

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  • Private Banking Wealth Management Lawyer 

    NEW

    Multinational Financial Services Holding Company

     - New York City, NY

    will be responsible for providing legal counsel and advice to the business on the ... the Attorney will advise on various broker-dealer related matters for trading desks and...

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  • Regulatory Policy Specialist, Office of General Counsel 

    NEW

    Finra

     - Washington, DC

    and to authorize their broker-dealers to provide FINRA with duplicate statements ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA is an...

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  • MetLife

     - New Jersey

    and FINRA's institutional broker dealer rules. Responsibilities include the ... Fund Manager's Directive andFINRA's institutional broker dealer rules. Able to...

    4 days ago from MetLife
     
  • Senior Counsel

    Global Leader In Investment Management

     - Jersey City, NJ

    6-10 years law firm experience representing broker dealers or otherfinancial services ... recommend and make decisions regarding daily broker-dealeractivities - Ability to function...

    5 days ago from IvyExec
     
  • Managing Counsel

    Global Leader In Investment Management

     - Jersey City, NJ

    Advisor Solutions LLC ("PAS") broker-dealer based in Jersey City, New Jersey. This ... transactions for the FINRAmember broker dealer focused on delivering expert custody,...

    5 days ago from IvyExec