by Bill Singer
EMPLOYMENT TUESDAY at BrokeAndBroker.com
July 23, 2013
Manage SEC registrations Build client relationships, lead a team of professional staff, identify and source new work and new product development Prepare and deliver SEC mock exam... more Title: FINRA Legal Extern, Enforcement (UNPAID) - Jericho, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Economic Research Analyst opening in Washington, DC . To be considered for this... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Economist opening in Washington, DC or New York, NY . To be considered for... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Economist opening in Washington, DC or New York, NY . To be considered for this... more Title: FINRA Fall 2013 Legal Extern (unpaid) - Member Regulation - Los Angeles, CA Location: null Other Locations: null The Financial Industry Regulatory Authority (FINRA) is... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst III, Market Risk opening in New York, NY . To be considered for this... more We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Lead Developer opening in New York, NY. To be considered for this position,... more Title: Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL Location: US-IL-Chicago-300 South Riverside / 10574 Job Number: 130058501... more Title: FINRA Extern (unpaid) - Member Regulation, Sales Practice - Kansas City, MO Location: null Other Locations: null FALL EXTERN - SALES PRACTICE The Financial Industry... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Executive Vice President, Risk Oversight and Operational Regulation (ROOR)... more Do you enjoy helping people make the best financial decisions? Do you have an FINRA 6 or 7 license? If so we are looking for YOU! more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Executive Vice President, Sales Practice opening in New York, NY. To be... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Accounting Associate III opening in Rockville, MD . To be considered for this... more We Work to Protect Investors. Join our Team. FINRA is seekingwell-qualified individuals for future Compliance Examiner openings in Boca Raton, FL .To be considered forfuture... more Company Description: Job Description: Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of... more Title: FINRA Extern - (unpaid) Ombudsman - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. The Financial Industry Regulatory... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Enforcement Investigator opening in Rockville, MD . To be considered for this... more We Work to Protect Investors.Join our Team. FINRA is seeking a well qualified individual for our Examination Manager opening in our Denver, CO,location.To be considered for this... more We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Executive Vice President, Member Regulation Sales Practice opening in New York,... more We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Executive Vice President opening in New York, NY . To be considered for this... more 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 Surveillance Analyst (Excel & FINRA Series 7 required) Job ID #: 87401 Employment Type: Full Time - Permanent Location: GA-Atlanta Education Preferred: Bachelors Degree (or... more Responsibilities: Respond to all proprietary advisory service issues. Handle processing through MAS Platform Ongoing interaction with IARs, ACOs, (Agency Compliance Officer),... more 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 Provides onsite education and motivational seminars on many financial themed topics to retirement plan participant and prospective retirement plan participants. Deliver onsite... more Job Responsibilities and Requirements: Responsibilities: Assist in developing and overseeing policies and procedures that ensure compliance with FINRA and SEC rules and... more The COO is responsible for leading business results of the brokerage division. Partners with leadership to manage division wide projects, involved in marketing and business... more National wealth management organization looking to expand into the Boston area. Looking for experienced financial advisors with books of business to run book as well as build up... more Robert Half Management Resources has a financial services client looking for a part time (three days per week) Human Resources Manager for 2-3 months. Responsibilities include... more Many of our clients have said Thank You to David Lerner Associates because our business philosophy of building and preserving investor's assets has worked for them. This... more Title: Financial Advisor � Apple Federal Credit Union Position: Financial Advisor Full Time/Exempt Location: Fairfax City VA &nb Position Requirements : Minimum 3 years... more 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 National Brokerage firm is seeking an experienced non-producing Branch Manager. Typical base salary around $85K and additional $60-$80K of variable compensation potential... more Responsible for Venice, Sarasota and Manatee markets, providing integrated wealth management solutions with a focus on investments for clients and prospects. Researches and... more * Accurately and efficiently processes and performs data entry of customer transaction requests and assigned tasks. * Develops extensive job knowledge by applying written... more A global law firm with one of the largest Investment Management practices seeks an associate for its Washington, D.C., office. This associate should have 3-6 years of experience... more 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 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 This sales position entails building and servicing clientele, keeping clients abreast of pertinent market information, maintaining an in-depth understanding of the wide variety of... more seeking qualified candidate for a full time Stockbroker Trainee Position. Full ... sales training to become a fully licensed Stockbroker We will provide: - All necessary... more Services Industry! As a Commerce One Stockbroker you can run your business, determine your compensation and redefine your future! For Immediate consideration, email your resume... more Company Description: EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We... more 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 Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more seeking qualified candidate for a full time Stockbroker Trainee Position. Full sponsorship for Series 7 &63 Exams. You will work alongside seasoned veterans in the industry.Retail... more Manager, Investor Relations Swift Energy Company is committed to being a premier oil and gas company and top-tier performer by creating value through sustainable, efficient... more We are looking for hard working, driven individuals who have an interest in pursuing a career, not a job. Previous sales experience in another industry such as real estate or car... moreJul 20 Director - FINRACompliance Leading Financial Services Firm Manhattan, NY Jul 20 FINRA Legal Extern, Enforcement (UNPAID) Financial Industry Regulatory Authority Jericho, NY Jul 20 Economic Research Analyst Finra Washington, DC Jul 20 Senior Economist - Washington, DC or New York, NY Finra Washington, DC Jul 20 Economist - Washington, DC or New York, NY Finra Washington, DC Jul 20 FINRA Fall 2013 Legal Extern (unpaid) - Member Regulation Financial Industry Regulatory Authority Los Angeles, CA Jul 20 Analyst III, Market Risk - Member Regulation, ROOR Finra New York, NY Jul 19 Lead Developer - Rockville, MD - Contractor Conversion Finra New York, NY Jul 19 Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required JPMorgan Chase Chicago, IL Jul 19 FINRA Extern (unpaid) - Member Regulation, Sales Practice Financial Industry Regulatory Authority Kansas City, MO Jul 18 Executive Vice President, Risk Oversight and Operational Regulation (R Finra Maryland Jul 18 FINRA licensed Client Service Representative Staffmark Addison, TX Jul 18 Executive Vice President, Sales Practice Finra Maryland Jul 18 Accounting Associate III Finra Rockville, MD Jul 18 Compliance Examiner, Member Regulation Finra Boca Raton, FL Jul 18 FINRA Compliance Officer Sicor Securities Dayton, OH Jul 18 FINRA Extern - (unpaid) Ombudsman Financial Industry Regulatory Authority Rockville, MD Jul 17 Enforcement Investigator Finra Rockville, MD Jul 16 Examination Manager, Sales Practice Finra Denver, CO Jul 16 Executive Vice President - Member Regulation, Sales Practice Finra New York, NY Jul 16 Executive Vice President - Member Regulation, ROOR Finra New York, NY Jul 16 Surveillance Analyst (Excel & FINRA Series 7 required) Chartisinsurance Atlanta, GA Jul 16 Surveillance Analyst (Excel and FINRA Series 7 required) American International Group Atlanta, GA Jul 22 Advisory Ops Specialist Michael Page New York, NY Jul 21 FINRA Legal Extern, Enforcement (UNPAID) Finra Jericho, NY Jul 21 401k Presentation Specialist ING North America Insurance California Jul 20 Compliance Officer Recruitarrow Miami, FL Jul 17 Chief Operating Officer RBS Citizens Dedham, MA Jul 17 Wealth Management Robert Half International Boston, MA Jul 16 Human Resources Manager Natick, MA Jul 15 Sales Representative David Lerner Crosswicks, NJ Jul 15 Financial Advisor - Apple Federal Credit Union CUSO Financial Services Fairfax, VA Jul 15 Central Supervision Principal (Annuities & Life Insurance) Bank of America Charlotte, NC Jul 14 Licensed Branch Manager - National Brokerage Firm Dm Stone Jobsinbrokerage.com San Francisco, CA Jul 12 Financial Advisor Northern Trust Florida Jul 10 Account Administrator Great-West Somerset, NJ Jul 01 Associate - Investment Management Garrison & Sisson Washington, DC Jul 21 Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor Noci Palm Beach, FL Jul 21 Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser Noci Hartford, CT Jul 21 Stockbroker / Account Executive DMG Securities Washington, DC Jul 18 Stockbroker Trainee Midtown Nyc Investment Bank New York, NY Jul 10 Stockbroker Trainee Commerce One Financial Uniondale, NY Jul 09 Stockbrokers - New Industry Everest Merchant Services New York, NY Jul 05 Financial Advisor/Stockbroker Morgan Wilshire Garden City, NY Jul 19 Stockbroker Edward Jones Vallejo, CA Jul 18 Stock Broker Trainee Free Series 7 and 63 Sponsorship Confidential America New York, NY Jul 15 Manager, Investor Relations Swift Energy Company Houston, TX Jul 02 Stockbroker Andrew Garrett New York, NY
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