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by Bill Singer
 
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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: July 2, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
Stockbroker, Compliance, Legal, and Regulatory Jobs

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If you are an employer seeking job candidates, 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.  
$25 for 30 days!


Jun 28Stockbroker &Stockbroker traineesNetwork PlacementsNew York, NY

firm looking to recruit entry-level stockbroker trainees. Our client offers a fast paced training program designed specifically for our trainees through THREE powerful levels of... more

Jun 27Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

Company Description: EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We... more

Jun 25STOCKBROKERDMG SecuritiesGreat Falls, VA

DMG SECURITIES, INC., member FINRA, SIPC. Full servicebroker. Personalized in-house training. Lucrative payout schedule. EntryLevel/All Majors. Please call James Scullen at... more

Jun 25Stockbroker / Account ExecutiveDMG SecuritiesWashington, DC

This sales position entails building and servicing clientele, keeping clients abreast of pertinent market information, maintaining an in-depth understanding of the wide variety of... more

Jun 21Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth AdviserNociSan Francisco, CA

Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d...more

Jun 21Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial AdvisorNociPalm Beach, FL

Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d... more

Jun 13Branch StockbrokerScottradeCleveland, OH

Branch Stockbroker - Cleveland, OH Job ID: 20130105-7221 Description: Your Future: Our ... to facilitate a healthy path to success. Stockbroker Priorities: * Use business... more

Jun 29Financial Operations Examiner - Member Regulation, ROORFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY . To be considered for this... more

Jun 29Consolidated Supervised Entity Examiner - Member Regulation, ROORFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Consolidated Supervised Entity (CSE) Examiner opening in New York, NY . To be... more

Jun 29Enforcement CounselFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enforcement Counsel opening in New York, NY . To be considered for this position,... more

Jun 14Compliance Examiner - Member Regulation, Sales Practice - New York, NY( Job Number: 002513)FinraNew York, NY

Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the... more

Jun 29Compliance Examiner - Member Regulation, Sales PracticeFinraPhiladelphia, PA

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Philadelphia, PA . To be considered for this... more

Jun 29Manager - Market Regulation,Fixed IncomeFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Manager/Team Lead Market Regulation, Fixed Income opening in Rockville, MD . To... more

Jun 29Senior Examination Director - Member Regulation, Sales PracticeFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Senior Examination Director opening in New York, NY . To be considered for this... more

Jun 27Compliance Examiner-Member Regulation, Sales PracticeFinraBoston, MA

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Boston, Massachusetts . To be considered for this... more

Jun 25FINRA Legal Extern, Enforcement (UNPAID)FinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals for our Legal Extern - Department of Enforcement opening in New York, NY . To be... more

Jun 21Customer Service Coordinator III Field Support ServicesFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Customer Service Coordinator III Field Support Services opening in Rockville, MD. more

Jun 21Analyst I - Registration and DisclosureFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst I - Registration and Disclosure opening in Rockville, MD . To be... more

Jun 21Director - FINRAComplianceA Financial Services CompanyNew York, NY

Job Description The professional who fills this position will: Manage SEC registrations Build client relationships, lead a team of professional staff, identify and source new work... more

Jun 21Regulatory Analyst - OFDMI-PIPESFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst -Fraud opening in Rockville, MD . To be considered for this... more

Jun 19Senior PsychometricianFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Psychometrician opening in Rockville, MD . To be considered for this... more

Jun 18PsychometricianFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Psychometrician opening in Rockville, MD. To be considered for this position,... more

Jun 17FINRA Compliance OfficerSicor SecuritiesDayton, OH

Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of this broker-dealer firm and assist with... more

Jun 15Regulatory Analyst - Market Regulation, Options RegulationFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst, Options Regulation opening in New York, NY . To be considered... more

Jun 14Team Leader / Associate Director - PIPESFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Team Leader/Associate Director opening in Rockville, MD. To be considered for... more

Jun 13Test Development Editor - Testing & Continuing Education - QualificationsFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Test Development Editor - Qualifications opening in Rockville, MD. To be... more

Jun 13Security Senior SpecialistFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Security Senior Specialist opening in Rockville, MD. To be considered for this... more

Jun 12Surveillance Analyst (Excel & FINRA Series 7 required)ChartisinsuranceAtlanta, GA

Position Description The Surveillance Analyst of the Advisor Group will be responsible for completing Field Advisor and product reviews. This position reports to the... more

Jun 12Surveillance Analyst (Excel and FINRA Series 7 required)American International GroupAtlanta, GA

Surveillance Analyst (Excel & FINRA Series 7 required) Job ID #: 87401 Employment Type: Full Time - Permanent Location: GA-Atlanta Education Preferred: Bachelors Degree (or... more

Jun 11Qualifications Analyst -Testing and Continuing EducationFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Qualifications Analyst opening in New York, NY. To be considered for this... more

Jun 11Investigative Senior SpecialistFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Investigative Senior Specialist opening in Rockville, MD To be considered for... more


SIDE BAR With Bill Singer (Thomson Reuters)
Is Self Regulation A Dinosaur on Wall Street? (8:51 run time) 

Martin Kaplan, Esq. explains the significance of his landmark victory in Fiero v. FINRA. Kaplan and Bill Singer, Esq. discuss whether FINRA is now a toothless tiger. 

READ: "FINRA Loses Landmark Federal Appeals Case on Collection of Fines" (BrokeAndBroker.com, October 7, 2011)

NEW EPISODE OF 
SIDE BAR WITH BILL SINGER 
NOW ONLINE
Martin Kaplan, Esq. Talks About FINRA

REUTERS.COM


YouTube for iPhone/Pad Users



 
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