Sep 29 | Financial Advisor - DE/PA Life/Health, FINRA | Volt Information Sciences | Pittsburgh, PA |
Financial Advisor - DIRECT HIRE - Pittsburgh, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR STRAIGHT... more | |||
Sep 29 | Examination Manager | Finra | Atlanta, GA |
We Work to Protect Investors.Join our Team. FINRA is seeking a well-qualified individual for our Examination Manager opening in our Atlanta, GA office.To be considered for this... more | |||
Sep 28 | Financial Advisor DE/PA Life/Health, FINRA | Volt Information Sciences | Williamsport, PA |
Financial Advisor - DIRECT HIRE - Williamsport, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR STRAIGHT... more | |||
Sep 28 | IS Audit Project Leader II/Auditor III | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our IS Auditor III/Audit Project Leader II opening in Rockville, MD . Level offered... more | |||
Sep 28 | Compliance Examiner - Member Regulation | Finra | Chicago, IL |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual forfuture Compliance Examiner opportunities in Chicago, IL . To be considered for this... more | |||
Sep 24 | Director, Corporate Records | Finra | Gaithersburg, MD |
The Director of Corporate Records (DCR) is responsible for senior level oversight of FINRA's Records Management Program. With guidance from the FINRA Records Management Board, the... more | |||
Sep 24 | Regulatory Analyst - Market Regulation, BX | Finra | New York, NY |
The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities laws, rules and regulations... more | |||
Sep 24 | Director II, Fixed Income Regulation | Finra | Washington, Dc |
The Director, Fixed Income Regulation, working independently, provides leadership, oversight and supervision of FINRA's regulatory program for fixed income securities with a... more | |||
Sep 24 | Financial Operations Examiner | Finra | New York, NY |
FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY. Conducts on-site examinations and assesses Floor member and member... more | |||
Sep 21 | Public Offerings Analyst | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Public Offerings Analyst opening in Rockville, MD . To be considered for this... more | |||
Sep 20 | Regulatory Analyst - Market Regulation, Short Interest - Rockvil | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more | |||
Sep 19 | Personal Banker - West Los Angeles, CA (FINRASeries 6/63 & CA Insurance Licenses Preferred) | Chase | West Los Angeles, CA |
Play a vital role in the customer banking experience at Chase! Aspart of JPMorgan Chase, a leading global financial services firm,Chase has over 5,200 locations where our bankers... more | |||
Sep 17 | Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required) | MetLife | New Jersey |
Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more |
Oct 05 | FINRA Legal Extern (unpaid) - Winter/Spring 2013 - Chicago Equities Surveillance Department | Finra | Chicago, IL |
FINRA is seeking a well qualified individual for our Extern opening in Chicago, IL. The Chicago Equities Surveillance Department invites interested students to apply for our 2013... more | |||
Sep 25 | Branch Office Examiner - Broker - Dealer FINRAMember | Rosenthal Recruiting | New York, NY |
Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, SRO Rule and... more | |||
Sep 21 | Personal Banker - West Hills, CA (FINRA 6/63 CA Insurance Licenses Preferred) | JPMorgan Chase | California |
Personal Banker - West Hills, CA (FINRA 6/63 CA Insurance Licenses Preferred)-120054742 Job Description Play a vital role in the customer banking experience at Chase! As part of... more |
Oct 07 | Stockbroker/Account Executive | DMG Securities | Washington, DC |
Job Description: This sales position entails building and servicing clientele, keeping clients abreast of pertinent market information, maintaining an in-depth understanding of... more | |||
Oct 07 | Stockbroker Trainee | Commerce One Financial | Uniondale, NY |
applications for a limited number of stockbroker trainee positions. Whether consulting with their clients on how to best manage their funds or informing prospective clients on... more | |||
Oct 04 | Stockbroker Trainee | New Horizons | New York, NY |
We are looking for hard working, driven individuals who have a passion for Sales and Finance. This is an outstanding opportunity to work in the heart of the Financial District in... more | |||
Sep 24 | Stockbroker Trainee | Manhattan, NY | |
We are undergoing an extensive expansion process at our company headquarters in Manhattan.We are a full service broker dealer firm and the fastest growing firm on the Street.We... more |
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org... Read On
A FINRA Panel of Arbitrators found Citigroup Global Markets, Inc. ("CGMI"), Citigroup, Inc., and Citibank, N.A. guilty of discrimination, harassm... Read On
BrokeAndBroker.com Blog publisher Bill Singer Esq. is no fan of non-solicit/non-compete provisions. Sure, there could be . . . there are . . . compell... Read On
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroke... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellJive Talkin': The SEC Busts a Braggin' Broker Let's start... Read On
BrokeAndBroker.com Blog publisher Bill Singer is a fairly dyspeptic fellow. Most days, he's in a bad mood. Other days, he's in a worse mood. As to try... Read On