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by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker

March 6, 2012

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Mar 06Customer (Investment) Service Rep I or II - Wealth Mgmt - Sourcing Req - Broker Service Center - FINRASeries 7 RequiredJPMorgan ChaseChicago, IL

industry experience, a bachelors degree, and FINRA Series 7 and 63 licenses required (if you dont have either your 7 or 63, you will be required to obtain within 90 days of hire). more

Mar 06Compliance ParalegalMichael Page InternationalNew York, NY

various regulatory filings, including FINRA Form ADV's and SEC EDGAR filings. Respond to Know Your Client and due diligence requests from numerous third-party affiliates and... more

Mar 05Central Supervision Registered PrincipalBank of AmericaPennington, NJ

Seeking Registered Principal familiar with FINRA advertising rules, which requires a ... communication skills. * Desired knowledge of FINRA and SEC regulations regarding...more

Mar 05Sr Financial Advisor Ubis (Imperial Beach) - Bilingual PreferredUnion BankImperial Beach, 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

Mar 05Associate Wealth AdvisorRSM McGladreyLos Angeles, CA

in addition to meeting and exceeding FINRA continuing education requirements- CA Life and Variable Annuity License- CFP certification preferred- Bachelor's Degree in Business... more

Mar 05Associate Municipal Bond Portfolio Manager JobAmeripriseBoston, MA

Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more

Mar 02FINRA Attorney NeededYorkson LegalNew York, NY

Two contract attorneys needed for a pending FINRA investigation. We expect the start date ... next week. Need reviewers who have handled FINRA investigations in the past with an... more

Mar 02Compliance Officer / Broker DealerSinon GroupNew York, NY

approval and client account activity * FINRA and NASD licenses a plus ... * Communications with FINRA * Understand FINRA requirements regarding website and... more

Mar 02FINANCIAL CONSULTANT III (USA) JobCapital OneNew York, NY

This individual must hold FINRA Series 7, 63 and 65/66 as well as state approved Life and ... Qualifications Basic Qualifications: - FINRA Series 7, 63 and 65/66 licenses - State-appro... more

Mar 02Compliance Consultant 3Wells FargoCharlotte, NC

Compliance experience with a FINRA Regulated Firm, Futures and/or Derivatives, and/or rele ... Undergraduate degree or equivalent required FINRA Series 7, 24 and 3 (or successful... more

Mar 02Project AdminAllied InformaticsOmaha, NE

last) Candidates will be subject to full FINRA Background checks including Criminal and Credit. Short summary paragraph that states why you feel you are right for this job. Thanks... more

Mar 02Pcg Operations LiaisonWells FargoCarbondale, IL

written and verbal communication skills. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more

Mar 02Client Service Manager 3-(Retail Intermediary Client Service Manager)Wells FargoBoston, MA

members. Preferred Skills FINRA Series 7 FINRA Series 63 Expert operational understanding and experience in customer service/client support servicing initiatives and strategies. more

Mar 02Financial Planning CoordinatorBarnum Financial Group, An Office of MetLifeShelton, CT

and financial planning requirements. FINRA Series 6 or 7 licensed suggested but not required Life and Health insurance license suggested but not required Proficient...more

Mar 01401(k) District ManagerADPChicago, IL

1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... more

Mar 01Inv Connect Financial ConsultaUS BankSt Paul, MN

experience in a financial sales position - FINRA Series 7 license Preferred Skills/Experience - FINRA Series 63, 65 or 66 and applicable state insurance licenses - Thorough... more

Feb 29Financial Consultant II Coastal Bend JobCapital OneVictoria, TX

including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more

Feb 29Sr Financial Advisor Ubis (Portland, Oregon)Union BankPortland, OR

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

Feb 29Sr Financial Advisor Ubis (Point Loma & Ocean Beach)Union BankSan 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

Feb 29Enforcement Regional CounselFinancial Industry Regulatory AuthorityDallas, TX

We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Regional Counsel opening in Dallas, TX . To be considered for this position,... more

Feb 28BRANCH FINANCIAL ADVISORPNCLagrange, GA

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required. * Life Insurance License required. * Bachelor's degree preferred with an emphasis on... more

Feb 28Regulatory CounselMichael Page InternationalNew York, NY

law school Good knowledge of applicable FINRA, MSRB, NYSE, CFTC and other federal securities and banking laws, rules and regulations Excellent oral and written communication... more

Feb 27Senior Fixed Income Analyst - Municipal Bonds JobAmeripriseBoston, MA

Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more

Feb 26FINRA AttorneyAccess StaffingNew York, NY

with securities regulator, particularly FINRA, would be a strong +. Experience with ... institutional markets. Thorough knowledge of FINRA rules applicable to introducing broker... more

Feb 26Senior Compliance Consultant (Policies & Training)MetLifeBoston, MA

departments, state securities divisions, FINRA, the SEC, and other regulatory bodies. ... experience. Bachelors degree required. FINRA Series 7 and 24 required or must be... more

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