by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
June 18, 2013
| Jun 17 | Stock Plan Administrator | LSI | San 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 12 | Branch Stock Broker Trainee | South Dakota State Government | Sioux 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 12 | Branch Stock Broker Trainee - Sioux Falls, SD Job | Scottrade | Sioux 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 11 | DORA-Financial/Credit Examiner IV-Division of Securities | Denver, 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 07 | Stockbroker | Edward Jones | Stockton, 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 05 | Service CenterStockbroker (2-2927FL) | Recruit Gaap | Doral, 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 13 | Branch Stockbroker | Scottrade | Cleveland, 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 12 | STOCKBROKER | DMG Securities | Great 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 11 | Branch Stockbroker - Cleveland, OH Job | Scottrade | Cleveland, 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 10 | Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser | Noci | Bristol, 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 10 | Bilingual (Mandarin) Branch StockbrokerTrainee | Scottrade | Flushing, 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 10 | Branch StockbrokerTrainee | Scottrade | Wexford, 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 10 | Bilingual (Mandarin) Branch Stockbroker | Scottrade | Flushing, 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 10 | Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor | Noci | Boynton 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 04 | Financial Advisor/Stockbroker | Morgan Wilshire | Garden 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 17 | FINRA Compliance Officer | Sicor Securities | Dayton, 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 14 | Regulatory Analyst - Market Regulation, Options Regulation | Finra | New 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 14 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required | Chase | Illinois |
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 14 | Compliance Examiner - Member Regulation, Sales Practice - New York, NY( Job Number: 002513) | Finra | New 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 12 | Test Development Editor - Testing & Continuing Education - Qualifications | Finra | Rockville, 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 12 | Surveillance Analyst (Excel & FINRA Series 7 required) | Chartisinsurance | Atlanta, 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 12 | Surveillance Analyst (Excel and FINRA Series 7 required) | American International Group | Atlanta, 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 10 | Team Leader - Associate Director - Office of the Whistleblower | Finra | Rockville, 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 07 | Brokerage Service Associate with FINRASeries 06 or 07 Experience | Staffmark | Dallas, 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 07 | Regulatory Analyst - Market Regulation, Market Manipulation Investigations | 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 | |||
| Jun 05 | Attorney I - Member Regulation, Sales Practice Policy | Finra | New 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 04 | Financial Operations Examiner - Member Regulation, ROOR | Finra | New 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 04 | Enforcement Counsel | Finra | New 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 17 | Senior Psychometrician | Finra | Rockville, 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 16 | Chase Private Client Banker - NE 8th & 106th - Bellevue, WA - (FINRALicenses Preferred - 6, 63, WA Life & Health) | JPMorgan Chase | Washington |
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 14 | Attorney I - Member Regulation, Sales Practice Policy | Finra (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 14 | FINRA Extern - (unpaid) Ombudsman | Finra | Rockville, 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 14 | Central Supervision Principal (Life Insurance) | Bank of America | Charlotte, 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 14 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - Chicago | JPMorgan Chase | Illinois |
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 13 | Private Client Group Relationship Manager (FINRA licensed) - Frederick (153398) | PNC | Frederick, 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 10 | Surveillance Analyst (Excel & FINRA Series 7 required) | Chartis | Atlanta, 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 10 | Social Media Audit- FINRA | Silversearch | New 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 10 | Surveillance Analyst (Excel & FINRA Series 7 required) | American International Group | Atlanta, 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 08 | FINRA Legal Extern, Enforcement (UNPAID) | Finra | Jericho, 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 03 | Sales Desk Recruiting Event - FINRA Series 6 & 7 licensed sales professionals | Randstad Sourceright | Charlotte, 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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