by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
September 13, 2011
Don't miss today's hilarious "Street Sweeper" column by Bill Singer -- one of his funniest and best!
BrokeAndBroker Employment Page
Financial Advisor Ubis - San Diego Region (Lake Murray and North Park) Union Bank San Diego, CA experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal...READ
Emerging Regulatory Issues Fellow FINRA Washington, DC and NYC, NY FINRA.. READ
Director of Wealth Management Financial Services Company Atlanta, GA; Denver, CO; San Francisco, CA FINRA Series 7. FINRA Series 66 (or 63 and 65). FINRA Series 24. Life/Health license. Certified Financial Planner practitioner. Expert knowledge of...READ
Compliance Examiner - Sales Practice, Member Regulation Financial Industry Regulatory Authority New York, NY FINRA READ
Regulatory Analyst - Market Regulation, Fixed Income Financial Industry Regulatory Authority Rockville, MD FINRA READ
Regulatory Analyst - Options Regulation, Market Regulation Financial Industry Regulatory Authority New York, NY FINRA READ
Compliance Analyst Robert Half Financial Service Group North Boston, NY Must have BS degree with Series 6 and 26, and strong knowledge of SEC/FINRA advertising rules. For immediate consideration please contact Rachel.Howell@RobertHalf.com or... READ
Investment Sales Professional Kforce Finance & Accounting Birmingham, AL 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
Wm Sr Financial Advisor Wells Fargo Reno, NV advisory and financial planning experience; FINRA registration; Series 7, 63, 65 or equivalent and state life and insurance licenses.8+ years investment advisory and financial... READ
Compliance Assistant Mcintyre Group Wilton, CT on financial websites such as Edgar (SEC), FINRA, and Bloomberg, Google etc. Provide customer support via written and/or verbal communications to various levels of the firm to...READ
Director Regulatory Reporting - NYC Ashton Lane Group Chicago, IL Responsibilities: Manage the day to day operations of Regulatory Reporting, specifically the SECs customer reserve calculation, net capital operational charges, possession or... READ
Compliance Regulatory Affairs VP Leading Financial Services FirmNew York, NY out of one of these regulators, preferably FINRA. Duties: -Communicate with Examiners ... dealing with various regulators is a must (SEC, FINRA, etc) - Looking to hire... READ
Compliance Examiner Financial Industry Regulatory Authority Boston, MA FINRA READ
401K Sales Hunter Job ADP Overland Park, KS and close business. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... READ
Financial Consultant IAXA Advisors - San DiegoS an Diego, CA is preferred and relevant professional FINRA securities designations are a plus. If ... Advisors: state life and health licenses, FINRA Series 7 and 66 or equivalent.MBA, JD,... READ
Financial Advisor- Durham, NC (3) JobSun America Durham, NC; Midland, TX; Fort Collins, CO 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
Compliance Examiner - Boston, MA FINRA READ
Equity Capital Markets Compliance Officer Atlanta, GA SunTrust Robinson Humphrey, Inc., a SEC and FINRA registered broker dealer. The ... and reporting Conduct compliance testing per FINRA regulations Conduct branch office... READ