by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 6, 2011
VISIT THE BROKEANDBROKER.COM EMPLOYMENT PAGE
FINRA Associate in New York City #3984 Staffingforce New York, NY
Knowledge of the FINRA rules, regulations and practice... more
Manager - Agency Compliance MetLife San Diego, CA
All relevant FINRA, SEC, and State rules, laws, and ... Oversees the completion of all required FINRA and Compliance training and tutorial...more
Wm Financial Advisor Wells Fargo New York, NY
FINRA registration; Series 7, 63, 65 or equivalent and state life and insurance licenses. 5+ years investment advisory experience; FINRA...more
Senior Accountant or Supervisor Kforce Finance & Accounting Woodbridge, NJ
SEC, and FINRA reporting * Train staff and develop internal professional education courses * Supervise semi-seniors and staff accountants...more
Sales Manager Waddell and Reed/ Tacoma Yakima, WA
compliance practices in accordance with FINRA and corporate supervisory procedures. Support corporate initiatives as defined by company management...more
Investment Sales Specialist - FINRA Licensed Kforce Finance & Accounting Harrisburg, PA
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....more
Investment Sales Professional Kforce Finance & Accounting Rancho Bernardo, CA; Ponte Vedra, FL
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....more
Investment Banking Analyst Duff & Phelps New York, NY; Los Angeles, CA
Work long hours and on weekends * FINRA Series 79 & 63 certification...more
Identity & Access Management Analyst (Job Number: 000945) Finra - Financial Industry Regulatory Authority Rockville, MD
FINRA...more
401K Sales Hunter- ADP Major Accounts Job ADP Elk Grove Village, IL
Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment...more
401K Sales Hunter Job ADP Waltham, MA
Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment...more
Financial Advisor Ubis (Manhatten Beach) Union Bank Manhattan Beach, CA
FINRA licenses 7, 65 and/or 66, California Life and Disability; college degree with 2 years related experience preferred...more
IIB Ops - Margin Analyst/Collateral Manager JPMorgan Chase Newark, DE
Portfolio Margin, Regulation T, Sec 15c3-1, Finra Rule 4210, and maintenance calls ... knowledge in Portfolio Margin, Regulation T, Finra Rule 4210 and Regulation SHO...more
Registered Investment Advisors Sales Executive-Territory Vanguard Boston, MA
increasing levels of responsibility. Active FINRA Series 7 and 63 licenses or the ability to obtain within 90 days of initial employment. Broad asset management, financial...more
