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by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 29, 2011

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Featured Job Postings from BrokeAndBroker.com

Nov 28

 

Trading Operations Engineer - QA, KSH, SQL, high frequency

 Quantlab Financial Houston, TX

Develop and monitor metrics based on FINRA requirements and internal protocol. • Write and ... 3 days later, and respond to FINRA with the necessary corrections on a timely basis. •... more

Nov 28

 

New Accounts Specialist

 Interactive Brokers Chicago, IL

experience preferred Registrations: FINRA Series 7, 55, 63 a plus PC Skills - Word, Advanced Excel Programming and/or UNIX experience optimal, and/or databases (SQL) is helpful... more

Nov 27

 

AVP, Product Development - Life Actuary - 4340

 S.C. International - Actuarial Recruiters Ohio

development, and/or the actuarial function. FINRA Series 6 and 26 licenses may be required. Values: Regularly and consistently demonstrates the company Values and Guiding... more

Nov 26

 

Financial Advisor Associate - Dallas, TX (Park Forest)

 JPMorgan Chase Dallas, TX

requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... CISC, a member of FINRA and SIPC, is an affiliate of JPMorgan Chase Bank, N.A.* FINRA Seri... more

Nov 26

 

401(k) Sales Hunter!! (B2B)

 Wilsonhcg Columbus, OH

Business Development-DM Required licensing: FINRA Series 6 and 63 Our client is a global, ... industry data Required licensing: FINRA Series 6 and 63. This person must have strong... more

Nov 25

 

Regulatory Reporting Project Professional

 Resources Global Professionals New York, NY

working with external regulators: SEC, FINRA, NYMEX, Federal Reserve Bank * Experience assisting securities firm in filing to become a bank * Advanced Excel skills and an aptitude... more

Nov 25

 

Operational Risk Manager 3

 Wells Fargo St Louis, MO

s operational risk experience and 3+ years managerial experience.Bachelors and Masters degree in business, finance (or related fields). FINRA Series 7 license. Supervisory... more

Nov 25

 

Financial Advisors- Existing Book of Business Job

 Sun America Union City, OH

* 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

Nov 23

 

Manager - Market Regulation, Trading and Market Making Surveillance

 Finra Rockville, MD

FINRA ... more

Nov 23

 

Regulatory Analyst - Market Regulation, Customer Issues

 Finra Rockville, MD

FINRA ... more

Nov 23

 

Compliance Examiner - Sales Practice

 Finra New York, NY

FINRA ... more

Nov 23

 

Corporate Actions Manager

 Financial Industry Regulatory Authority Rockville, MN

FINRA... more

Nov 23

 

401(k) Sales Hunter- B2B Outside sales- Base + Uncapped Commission

 Wilsonhcg Parsippany, NJ

Required licensing: FINRA Series 6 and 63 Our client is a Global, fortune 500 organization ... looking for a HUNTER Required licensing: FINRA Series 6 and 63 Strong organization,... more

Nov 23

 

Fixed Income Markets Trader

 Bank Leumi USA New York, NY

equity, equity options and mutual funds for client transactions Qualifications: BA in finance or business-related course Bilingual - Spanish a must FINRA Series 7, 63 2-5 years... more

Nov 22

 

Financial Advisor/ Utica, MI Job

 Sun America Utica, MI

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

Nov 22

 

Financial Advisor/ Lapeer, MI Job

 Sun America Lapeer, MI

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

Nov 22

 

Financial Advisor- Wilson, NC Job

 Sun America Wilson, NC

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

Nov 22

 

Financial Advisor - Salt Lake City Job

 Sun America Salt Lake City, UT

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

Nov 22

 

Financial Professional

 AXA Advisors Roanoke, VA

is preferred and relevant professional FINRA securities registrations are a plus. If ... Advisors: state life and health licenses, FINRA Series 7 and 66 registrations. MBA, JD,... more

Nov 21

 

Municipal Securities Compliance

 Morgan Stanley New York, NY

Securities Division. Advise on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, and internal policies and procedures. Skills Required: Recruiter to work with... more

Nov 21

 

401K Sales Hunter - Major Accounts Job

 ADP San Francisco, CA

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... more

Nov 20

 

FINANCIAL CONSULTANT

 Capital One Salisbury, NY

including but not limited to those of FINRA, the SEC and state insurance ... (LICENSES, CERTIFICATIONS, ETC) FINRA Series 7, 63 State-approved Life and... more

Nov 19

 

Regulatory Analyst - Market Regulation, Market Analysis

 Finra Rockville, MD

FINRA ... more

Nov 18

 

Financial Operations Examiner

 Financial Industry Regulatory Authority New York, NY

FINRA... more

Nov 18

 

Regulatory Analyst - Market Regulation, Trade Exams & Special Reviews

 Financial Industry Regulatory Authority New York, NY

FINRA. ... more

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