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by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

August 16, 2011

Senior Compliance Officer Electronic Broker-dealer - Finra Member New York, NY and procedures Experience with S.E.C. and FINRA regulatory examinations Ability to ... Representative to FINRA and interface with FINRA, S.E.C. during examinations and...READ

Controller Financial Services Company New York, NY Our client a self clearing FINRA Broker- Dealer and RIA is seeking an experienced ... Required Skills CPA Pass/have FINRA Series 7 and Series 27 5 years accounting experience... ...READ

Tradebook Compliance Officer Bloomberg New York, NY team. The position requires a knowledge of FINRA and SEC Rules rules and regulations pertaining to equity and equity option securities. The position includes monitoring of desk... ...READ

Financial Advisor/ Ames, IA Sun America Ames, IA 3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... ...READ

Financial Advisor / Lewiston ID Sun America Lewiston, ID 3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... ...READ

Financial Advisor- Johnson City, TN Sun America Johnson City, TN 3+ years Advisor experience* Active FINRA Series 6 or 7 license* Active FINRA Series 63 and 65, or 66 license(s)* Active state variable life and health license Desired Attributes... ...READ

Financial Advisor / San Jose CA Sun America San Jose, CA * 3+ years Advisor experience * Active FINRA Series 6 or 7 license * Active FINRA Series 63 and 65, or 66 license(s) * Active state variable life and health license If you are a... ...READ

Investment Sales Professional Kforce Finance & Accounting St Louis, MO Our client is seeking a FINRA licensed candidate for a direct-hire employment opportunity. This is not an advisory role, but a true business development role. Candidates who have... ...READ

Financial & Operations Principal Tephra New York, NY Focus Filing & all regulatory reporting to FINRA Maintaining the compliance policies, ... years working in compliance environment in a FINRA regulated business. Bachelors Degree or... ...READ

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