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by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 18, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
Stockbroker, Compliance, Legal, and Regulatory Jobs

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Jun 17Stock Plan AdministratorLSISan Jose, CA

Job Description: About LSI: LSI Corporation is a leading provider of innovative silicon, systems and software technologies that enable products which seamlessly bring people,... more

Jun 12Branch Stock Broker TraineeSouth Dakota State GovernmentSioux Falls, SD

is to work towards a promotion to Branch Stockbroker. The Trainee operates as a team member to support clients and brokers. All duties and responsibilities are performed while... more

Jun 12Branch Stock Broker Trainee - Sioux Falls, SD JobScottradeSioux Falls, SD

is to work towards a promotion to Branch Stockbroker. The Trainee operates as a team member to support clients and brokers. All duties and responsibilities are performed while... more

Jun 11DORA-Financial/Credit Examiner IV-Division of SecuritiesDenver, CO

The Department of Regulatory Agencies (DORA) is dedicated to preserving the integrity of the marketplace and is committed to promoting a fair and competitive business environment... more

Jun 07StockbrokerEdward JonesStockton, CA

Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more

Jun 05Service CenterStockbroker (2-2927FL)Recruit GaapDoral, FL

is seeking a full-time Service Center Stockbroker for the Doral, FL area. Starting wage or salary up to $15 per Hour. Job Code: 2-2927FL. Environment described as: Successful and... more

Jun 13Branch StockbrokerScottradeCleveland, OH

Branch Stockbroker - Cleveland, OH Job ID: 20130105-7221 Description: Your Future: Our ... to facilitate a healthy path to success. Stockbroker Priorities: * Use business... more

Jun 12STOCKBROKERDMG SecuritiesGreat Falls, VA

DMG SECURITIES, INC., member FINRA, SIPC. Full servicebroker. Personalized in-house training. Lucrative payout schedule. EntryLevel/All Majors. Please call James Scullen at... more

Jun 11Branch Stockbroker - Cleveland, OH JobScottradeCleveland, OH

to facilitate a healthy path to success. Stockbroker Priorities: * Use business development techniques to strengthen client relationships * Act as a total solutions provider using... more

Jun 10Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth AdviserNociBristol, CT

Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d...more

Jun 10Bilingual (Mandarin) Branch StockbrokerTraineeScottradeFlushing, NY

is to work towards a promotion to Branch Stockbroker. The Trainee operates as a team member to support clients and brokers. All duties and responsibilities are performed while... more

Jun 10Branch StockbrokerTraineeScottradeWexford, PA

is to work towards a promotion to Branch Stockbroker. The Trainee operates as a team member to support clients and brokers. All duties and responsibilities are performed while... more

Jun 10Bilingual (Mandarin) Branch StockbrokerScottradeFlushing, NY

to facilitate a healthy path to success. Stockbroker Priorities: Use business development techniques to strengthen client relationships Act as a total solutions provider using... more

Jun 10Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial AdvisorNociBoynton Beach, FL

Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor Need Experienced Hedge Fund or Private Equity Capital Raiser looking to make the transition into 3d... more

Jun 04Financial Advisor/StockbrokerMorgan WilshireGarden City, NY

Financial Advisor/Stockbroker Do you have your Series 7 and are looking for the right firm to call home?When you are only involved in one area of the market, what if it does not... more

Jun 17FINRA Compliance OfficerSicor SecuritiesDayton, OH

Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of this broker-dealer firm and assist with... more

Jun 14Regulatory Analyst - Market Regulation, Options RegulationFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst, Options Regulation opening in New York, NY . To be considered... more

Jun 14Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseIllinois

Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out... more

Jun 14Compliance Examiner - Member Regulation, Sales Practice - New York, NY( Job Number: 002513)FinraNew York, NY

Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the... more

Jun 12Test Development Editor - Testing & Continuing Education - QualificationsFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Test Development Editor - Qualifications opening in Rockville, MD. To be... more

Jun 12Surveillance Analyst (Excel & FINRA Series 7 required)ChartisinsuranceAtlanta, GA

Position Description The Surveillance Analyst of the Advisor Group will be responsible for completing Field Advisor and product reviews. This position reports to the... more

Jun 12Surveillance Analyst (Excel and FINRA Series 7 required)American International GroupAtlanta, GA

Surveillance Analyst (Excel & FINRA Series 7 required) Job ID #: 87401 Employment Type: Full Time - Permanent Location: GA-Atlanta Education Preferred: Bachelors Degree (or... more

Jun 10Team Leader - Associate Director - Office of the WhistleblowerFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Team Leader - Associate Director opening in Rockville, MD . To be considered for... more

Jun 07Brokerage Service Associate with FINRASeries 06 or 07 ExperienceStaffmarkDallas, TX

Customer Service Excellence AND FINRA Series 06/07 experience for this TEMP-to-HIRE position in the Dallas area. Must have a working knowledge of mututal funds, quity and fixed... more

Jun 07Regulatory Analyst - Market Regulation, Market Manipulation InvestigationsFinraRockville, 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

Jun 05Attorney I - Member Regulation, Sales Practice PolicyFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Attorney I opening in New York, NY . To be considered for this position, please... more

Jun 04Financial Operations Examiner - Member Regulation, ROORFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY . To be considered for this... more

Jun 04Enforcement CounselFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Enforcement Counsel opening in New York, NY . To be considered for this position,... more

Jun 17Senior PsychometricianFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Psychometrician opening in Rockville, MD. To be considered for this... more

Jun 16Chase Private Client Banker - NE 8th & 106th - Bellevue, WA - (FINRALicenses Preferred - 6, 63, WA Life & Health)JPMorgan ChaseWashington

Chase Private Client Banker - NE 8th & 106th - Bellevue, WA - (FINRA Licenses Preferred - 6, 63, WA Life & Health)-130037576 Job Description The Private Client Banker is... more

Jun 14Attorney I - Member Regulation, Sales Practice PolicyFinra (financial Industry Regulatory Authority)New York, NY

Attorney I - Member Regulation, Sales Practice Policy - New York, NY (Job Number: 002532) Description We Work to Protect Investors. Join our Team. FINRA is seeking a... more

Jun 14FINRA Extern - (unpaid) OmbudsmanFinraRockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) seeks a well-qualified Extern for the Spring 2013 semester. The purpose is to... more

Jun 14Central Supervision Principal (Life Insurance)Bank of AmericaCharlotte, NC

This is a FINRA regulatory supervisory principal position with the Central Business Review Unit (CBRU). The CBRU assists with the regulatory oversight for the Advisory Division... more

Jun 14Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - ChicagoJPMorgan ChaseIllinois

Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-130023239 Job Description Chase is a leader in the financial services... more

Jun 13Private Client Group Relationship Manager (FINRA licensed) - Frederick (153398)PNCFrederick, MD

As a Relationship Manager for PNC's Private Client Group, you will be part of a successful and growing organization with a strong commitment to leadership in the affluent... more

Jun 10Surveillance Analyst (Excel & FINRA Series 7 required)ChartisAtlanta, GA

The Surveillance Analyst of the Advisor Group will be responsible for completing Field Advisor and product reviews. This position reports to the Manager/Director of... more

Jun 10Social Media Audit- FINRASilversearchNew York, NY

Ideal candidate would possess: Some business process engineering background Marketing/Strategy Need to be extremely analytical You will be reviewing spreadsheets and need to be... more

Jun 10Surveillance Analyst (Excel & FINRA Series 7 required)American International GroupAtlanta, GA

The Surveillance Analyst of the Advisor Group will be responsible for completing Field Advisor and product reviews. This position reports to the Manager/Director of... more

Jun 08FINRA Legal Extern, Enforcement (UNPAID)FinraJericho, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Externship - Department of Enforcement in Jericho, NY. To be considered... more

Jun 03Sales Desk Recruiting Event - FINRA Series 6 & 7 licensed sales professionalsRandstad SourcerightCharlotte, NC

Sales Desk Recruiting Event - FINRA Series 6 & 7 licensed sales professionals MetLife - Charlotte, NC (Charlotte, North Carolina Area) By Invitation Only The Sales Desk in... more

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