Oct 24 | Compliance Examiner - Member Regulation | Finra | Dallas, TX |
FINRA is seeking a well qualified individual for future Compliance Examiner opportunities in Dallas, TX. Job Summary: Examiners review or investigate risk areas of broker-dealers,... more | |||
Oct 23 | Senior Systems Analyst | Finra - Financial Industry Regulatory Authority | Rockville, MD |
FINRA is seeking a wellqualified individual for our Senior Systems Analyst opening in Rockville MD To be considered for this position please submit your resume through our career... more | |||
Oct 17 | Financial Advisor - DE/PA Life/Health, FINRA | Volt Information Sciences | Scranton, PA |
Financial Advisor - DIRECT HIRE - Scranton, 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 | |||
Oct 16 | Regulatory Coordinator - Sales Practice, Member Regulation | Finra | New York, NY |
Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm... more | |||
Oct 16 | Lead Security Engineer | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Lead Security Engineer opening in Rockville, MD. To be considered for this... more | |||
Oct 15 | Regulatory Coordinator - Member Regulation | Finra | Dallas, TX |
Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm... more | |||
Oct 15 | Regulatory Coordinator - Sales Practice, Member Regulation - New | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in New York, NY. To be considered for this... more | |||
Oct 15 | Compliance Examiner - Sales Practice | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in New York, NY. To be considered for this position,... more | |||
Oct 13 | Compliance Examiner, Member Regulation | Finra | Atlanta, GA |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Atlanta, GA. To be considered for this position,... more | |||
Oct 11 | Manager III, Communications & Information Management - Washingto | Finra | Washington, DC |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Manager of Communications & Information Management opening in Washington, DC. To... more | |||
Oct 09 | FINRA Licensed Sales Assistant | Arjent | New York, NY |
Job Description : FINRA Licensed Sales Assistant MUST HAVE SERIES 7 and 63 Licenses Position involves extensive client contact, individual will be involved in all activities that... more |
Oct 29 | Associate Wealth Management Advisor | Blakely Financial Services, Securities Offered Through Lpl Financial, MemberFinra/sipc | Stockton, CA |
The Associate Wealth Advisor is an integral part of the organization. The Associate Wealth Advisor will manage small to medium client accounts as well as service in partnership... more | |||
Oct 23 | Personal Banker - Belmont Shore/: FINRA Licenses Preferred - 6, Life & Health | Chase | Long Beach, CA |
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,200 locations where our... more | |||
Oct 20 | Personal Banker - El Toro,:FINRA Licenses Preferred - 6, Life & Health | Chase | Laguna Hills, CA |
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,200 locations where our... more | |||
Oct 17 | FINRA Contract Attorney | Lumen Legal | San Antonio, TX |
(San Antonio, TX) Lumen Legal is currently working with a Fortune 500 corporate client with an immediate need for a FINRA Attorney to assist the Broker-Dealer Compliance team in... more | |||
Oct 17 | Financial Advisor DE/PA Life/Health, FINRA | Volt Information Sciences | Scranton, PA |
Financial Advisor - DIRECT HIRE - Scranton, 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 | |||
Oct 12 | OUTBOUND TELESALES (FINRA Series 6 Lic./$40K Salary + Bonus) | Mutual of America | Boca Raton, FL |
If you are looking for a reputable, stable financial services company to start your career with, this is a great opportunity for you if you have cold-calling telesales experience... more | |||
Oct 06 | FINRA Legal Extern (unpaid) - Winter/Spring 2013 - Chicago Equities Surveillance Department | Financial Industry Regulatory Authority | Chicago, IL |
Title: FINRA Legal Extern (unpaid) - Winter/Spring 2013 - Chicago Equities Surveillance Department - Chicago, IL Location: null Other Locations: null FINRA is seeking a well... 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 |
Oct 26 | 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 | |||
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 |
A former UBS financial advisor (a top producer) was fired for allegedly violating compliance policies. The advisor tells a markedly different story.... Read On
In a recent FINRA regulatory settlement, a former supervisor was charged with having been aware of red flags of potentially unsuitable sales of liquid... Read On
Recently, the Commodity Futures Trading Commission published both a Staff Advisory and a Press Release that articulated its observations and disclos... Read On
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) https://www.brokeandbroker.com... Read On