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by Bill Singer

EMPLOYMENT TUESDAY

September 19, 2011

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GBAM Compliance Senior Manager Bank of America New York, NY rules and regulations, including SEC, FINRA and other regulatory organizations ... examination experience with the SEC or FINRA or equivalent industry experience... MORE

Financial Advisor/ Cook County Job Sun America Financial Group Chicago, IL 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 licensed... MORE

Financial Advisor/ Cincinnati OH Job Sun America Cincinnati, OH 2+ 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

Financial Advisor/ Chicago, IL Job Sun America Financial Group Chicago, IL 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 licensed... MORE

Legal Compliance AssociateRobert Half Financial Service Group Chicago, IL and regulations - including Advisors Act and FINRA rules relating to promotional materials and client reporting - preferably in a similar role at a Financial Services firm. 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

Sr Financial Advisor Ubis - San Diego Region (Lake Murray) 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... MORE

Sr Financial Advisor Ubis - San Diego (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... MORE

Financial Advisor- Redding, CA (Dana Dr.) Chase Redding, CA requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... in addition to meeting and exceeding FINRA continuing education requirements and... MORE

LICENSED INTERNAL WHOLESALER - Financial Services (FINRA Series 6 & 63 required) Job Sun America Calabasas, CA INTERNAL WHOLESALER - Financial Services (FINRA Series 6 & 63 required) Job Profession: ... INTERNAL WHOLESALER - Financial Services (FINRA Series 6 & 63 required)Job ID #:... MORE

Emerging Regulatory Issues Fellow Finra Washington, DC to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... regarding application accommodations. FINRA is an Equal Opportunity and Affirmative... MORE

Emerging Regulatory Issues Fellow Finra New York, NY to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... regarding application accommodations. FINRA is an Equal Opportunity and Affirmative... MORE

Director of Wealth Management Financial Services Company Atlanta, GA, Denver, CO, San Francisco, CA, San Jose, CA. FINRA Series 7. FINRA Series 66 (or 63 and 65). FINRA Series 24. Life/Health license. Certified Financial Planner practitioner. Expert knowledge of... MORE

Compliance Examiner - Sales Practice, Member Regulation Financial Industry Regulatory Authority New York, NY FINRA's training program) is required. FINRA examiners work in a team environment, ... and Affirmative Action Employer 2011 FINRA. All rights reserved. FINRA is a... MORE

Regulatory Analyst - Market Regulation, Fixed IncomeFinancial Industry Regulatory Authority Rockville, MD, New York, NY to the 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

Compliance AnalystRobert 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... MORE

Investment Sales Professional Kforce Finance & AccountingBirmingham, 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... MORE

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