Sep 30 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San An | JPMorgan Chase | San Antonio, TX |
Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808... more | |||
Sep 30 | FINRA Legal Extern, Enforcement (UNPAID) | Financial Industry Regulatory Authority | Jericho, NY |
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 | |||
Sep 29 | FINRA Extern (Unpaid) Member Regulation-Sales Practice | Financial Industry Regulatory Authority | Woodbridge, NJ |
Title: FINRA Extern (Unpaid) Member Regulation-Sales Practice - Woodbridge, NJ Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking... more | |||
Sep 29 | Stockbrokers - New Industry | Everest Merchant Services | New York, NY |
EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that are looking to regain the financial... more | |||
Sep 28 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req | JPMorgan Chase | San Antonio, TX |
Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808... more | |||
Sep 28 | FINRA Extern - (unpaid) Ombudsman | Financial Industry Regulatory Authority | Rockville, MD |
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 | |||
Sep 28 | Developer - Rockville, MD - Contractor Conversion | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Developer opening in Rockville, MD . To be considered for this position, please... more | |||
Sep 27 | Operations Center Specialist - New York, NY - Contractor Conversion | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Operations Center Specialist opening in New York, NY . To be considered for this... more | |||
Sep 27 | Stockbroker Trainees | Poughkeepsie, NY | |
Stockbroker Trainees Established broker-dealer welcoming trainees! Get your Series 7 license working alongside seasoned producers. - Located New York, NY - Exciting work... more | |||
Sep 27 | Administrative Assistant II - Market Regulation-Legal | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Administrative Assistant, Legal opening in Rockville, MD . To be considered for... more | |||
Sep 26 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required | JPMorgan Chase | Chicago, IL |
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: 130081831... more | |||
Sep 26 | Stockbroker Trainee | Commerce One Financial | Uniondale, NY |
Job Description: What distinguishes highly successful people is their ability to capitalize on the right opportunity when it presents itself. The Financial Industry is growing and... more | |||
Sep 25 | Stockbrokers / Financial Advisors | Solution Staffing | Conshohocken, PA |
*All communication is strictly confidential!!! Has your firm been affected by the recent financial turmoil? Would you like to join a firm that has limited their risk exposure and... more | |||
Sep 24 | Auditor - FINRA | Robert Half Management Resources | Columbus, OH |
Classification: Auditor - Internal Compensation: $30.00 to $40.00 per hour Robert Half Management Resources has a client that is in search for an Auditor for a highly competitive... more | |||
Sep 24 | Regulatory Analyst - Options, Market Regulation | Finra | San Francisco, CA |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst opening in San Francisco, CA. To be considered for this... more | |||
Sep 21 | Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser | Noci | Hartford, 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 | |||
Sep 21 | Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor | Noci | Palm Beach, FL |
Hedge 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 | |||
Sep 16 | FINRA Series 6 or 7 License / Call Center Pro | Staffmark | Dallas, TX |
Now Hiring: Call Center Professionals with Investment/Insurance Experience MUST HAVE FINRA Series 6 or 7 license TEMP to HIRE!!! Excellent Temp to Hire position in the Dallas area... more | |||
Sep 15 | 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 | |||
Sep 05 | 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 | |||
Sep 05 | Stockbroker / Account Executive | DMG Securities | Washington, DC |
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 |
Sep 22 | Analyst III, Market Risk - Member Regulation, ROOR | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: 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. more | |||
Sep 22 | Sr. Continuing Education Coordinator | Finra | New York, NY |
DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Continuing Education Coordinator opening in... more | |||
Sep 20 | Lead SCM/Build Engineer - Rockville, MD - Contractor Conversion | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our lead Software Configuration Manager/Build Engineer opening in Rockville, MD . To... more | |||
Sep 20 | Economist - Washington, DC or New York, NY | Finra | Washington, DC |
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 | |||
Sep 19 | Litigation Counsel, Enforcement | Finra | Los Angeles, CA |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Litigation Counsel opening in Los Angeles, CA . To be considered for this... more | |||
Sep 19 | Intranet Program Manager, HR Strategy | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Intranet Program Manager opening in Rockville, MD . To be considered for this... more | |||
Sep 19 | Regulatory Analyst - Market Regulation, Fixed Income 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 | |||
Sep 19 | Psychometrician | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Psychometrician opening in Rockville, MD. To be considered for this position,... more | |||
Sep 18 | Regulatory Analyst - OFDMI/ Office of Whistleblower | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. </center> FINRA is seeking well qualified individuals for our Regulatory Analyst position in the OFDMI-Office of the Whistleblower in... more | |||
Sep 17 | Compliance Examiner - Member Regulation, Sales Practice | Finra | Denver, CO |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Denver, CO . To be considered for this position,... more | |||
Sep 15 | Regulatory Analyst - OFDMI - Insider Trading | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. </center> FINRA is seeking a well qualified individual for our Regulatory Analyst - Insider Trading opening in Rockville, MD. To be... more | |||
Sep 12 | Associate Director, Test Security | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Director, Test Security opening in Rockville, MD To be considered for... more | |||
Sep 11 | Director, Enforcement Center | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Director, Enforcement Center opening in New York, NY . To be considered for this... more | |||
Sep 11 | Compliance Examiner - TMMS Options, Market Regulation | 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 | |||
Sep 10 | 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 | |||
Sep 06 | Compliance Examiner-Member Regulation, Sales Practice | Finra | Boston, MA |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Boston, Massachusetts . To be considered for this... more | |||
Sep 06 | Regulatory Coordinator - Member Regulation, Sales Practice | Finra | Boston, MA |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in Boston, MA. To be considered for this position,... more | |||
Sep 05 | Regulatory Analyst - OFDMI-Fraud | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst - Fraud opening in Rockville, MD . To be considered for this... more |
Sep 29 | Stockbrokers - New Industry | Everest Merchant Services | New York, NY |
EMS is one of the largest credit card processing firms in the US and is seeking seasoned, aggressive, dynamic stockbrokers and traders that are looking to regain the financial... more | |||
Sep 27 | Stockbroker Trainees | Poughkeepsie, NY | |
Stockbroker Trainees Established broker-dealer welcoming trainees! Get your Series 7 license working alongside seasoned producers. - Located New York, NY - Exciting work... more | |||
Sep 26 | Stockbroker Trainee | Commerce One Financial | Uniondale, NY |
applications for a limited number of stockbroker trainee positions. Whether ... Services Industry! As a Commerce One Stockbroker you can run your business,...more | |||
Sep 25 | Stockbrokers / Financial Advisors | Solution Staffing | Conshohocken, PA |
*All communication is strictly confidential!!! Has your firm been affected by the recent financial turmoil? Would you like to join a firm that has limited their risk exposure and... more | |||
Sep 21 | Stockbroker, Hedge Fund, Alt. Investment Sales, Wealth Adviser | Noci | Hartford, 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 | |||
Sep 21 | Hedge Fund & Alt. Investment Sales & Marketing, Stockbroker, Financial Advisor | Noci | Palm 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 | |||
Sep 05 | Stockbroker / Account Executive | DMG Securities | Washington, DC |
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 | |||
Sep 05 | 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 |
In today's Blog we got a FINRA regulatory decision, a state court judgment, a bankruptcy, and a federal court action. As the legal matters now stand, ... Read On
When considering an appeal questioning FINRA's denial of an expungement request, the SEC seems to have approached its deliberation as a cat toying wit... Read On
A public customer filed a FINRA Arbitration Statement of Claim against Wells Fargo Advisors and asked for no less than $100,000 in damages. The arbitr... Read On