by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker
August 23, 2011
Help Desk Supervisor (Job Number: 001087) Finra - Financial Industry Regulatory Authority Rockville, MD
FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer *2011 FINRA. All rights reserved. FINRA is a...MORE
Investment Sales Professional Kforce Finance & Accounting Indianapolis, IN
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... MORE
Marketing/Legal Coordinator Manpower San Mateo, CA
QUALIFICATIONS * Deep understanding of FINRA guidelines as pertain to marketing... MORE
AML Consultant Dbsi Services Jersey City, NJ
Skills: MS Excel Additional Skills: Process AML due diligence documentation/files KYC knowledge. USA Patriot Act, FSA, SEC and FINRA, 3rd EU.directive. - Be able... MORE
Financial Advisor/ Minneapolis, MN Job Sun America Minneapolis, MN
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... MORE
Investment Sales Professional Kforce Finance & Accounting Columbus, OH
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... MORE
Financial Advisor / Desert K-12 Job Sun America San Bernardino, 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... MORE
Senior Compliance Officer Electronic Broker-dealer - Finra Member New York, NY
Experience with S.E.C. and FINRA regulatory examinations Ability to ... Representative to FINRA and interface with FINRA, S.E.C. during examinations and.... MORE
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... MORE
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... MORE
Urgent Requirement:- Financial Business Analyst - Broker Dealer (NYC, 6 + Months F2F Ramy InfoTech New York, NY
clearing, compliance, accounting & risk and FINRA/SEC/COMPLIANCE 8y+ experience in BA and/or project management roles Strong experience with US Broker-Dealer processes especially... MORE
Financial Advisor AIG Minneapolis, MN
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 licenseIf you are a... MORE
Managing Associate New England Financial (a MetLife Company) Southfield, MI
Knowledge of FINRA/SEC compliance regulations and policies and ability to apply MetLife s ... Appropriate licensing and FINRA registration: Life/Health insurance, Series 6, 63 ... MORE
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... MORE