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 |
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellHighwaymen: The SEC Pulls Off a Brinks HeistAside from pirat... Read On
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process (June 28, 2022) https://www.finra.org... Read On
A FINRA Panel of Arbitrators found Citigroup Global Markets, Inc. ("CGMI"), Citigroup, Inc., and Citibank, N.A. guilty of discrimination, harassm... Read On