An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 15, 2013

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


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Oct 14Branch ManagerScottradeArlington, VA

firm preferred and absolute proficiency as a stockbroker in all areas of the discount industry * Minimum 4 years customer service skills * Clean U4 securities record Scottrade,... more

Oct 14Stockbroker InternshipNew York, NY

Find clients and grow relationships Stock, Mutual Funds, & ETFs Options Strategies Bonds & Fixed Investments Life Insurance & Variable Annuities Retirement Programs Individuals... more

Oct 13Cold CallerSelect Family of Staffing CompaniesTinton Falls, NJ

Falls, NJ During the training program, the Stockbroker trainee will utilize a call list ... flexibility involved in each call. The Stockbroker trainee will utilize an online... more

Oct 12FINRA 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

Oct 11Stockbroker InternshipNational SecuritiesNew York, NY

Description: Find clients and grow relationships Stock, Mutual Funds, & ETFs Options Strategies Bonds & Fixed Investments Life Insurance & Variable Annuities Retirement Programs... more

Oct 08Stockbroker / StockbrokerTraineeBroker DealerGreat Neck, NY

applications for a limited number of stockbroker trainee positions to build our financial force. We will provide sponsorship for your Series 7 and 63 licenses. Enrollment in our... more

Oct 03Account Executive- Large Case Group & Voluntary BenefitsUnum GroupGlendale, CA

Unum is a company of people serving people. As one of the world's leading employee benefits providers and a Fortune 500 company, Unum helps protect more than 25 million working... more

Oct 01Equity Research Associate - Telecom/Communications EquipmentMacquarieNew York, NY

Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. At Macquarie we offer you the experience and freedom to grow your... more

Oct 01Stock Broker / Stock Broker TraineeVfinance InvestmentsMiami, FL

recruiting for established Stock Brokers and Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong... more

Oct 10Financial 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

Oct 03StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Oct 02Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We facilitate secure,... more

Oct 14Stockbroker InternshipNew York, NY

Find clients and grow relationships Stock, Mutual Funds, & ETFs Options Strategies Bonds & Fixed Investments Life Insurance & Variable Annuities Retirement Programs Individuals... more

Oct 14Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing ReqJPMorgan ChaseSan 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

Oct 14Economist - Washington, DC orFinraNew York, NY

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

Oct 12FINRA 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

Oct 11Stockbroker InternshipNational SecuritiesNew York, NY

Description: Find clients and grow relationships Stock, Mutual Funds, & ETFs Options Strategies Bonds & Fixed Investments Life Insurance & Variable Annuities Retirement Programs... more

Oct 11Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San AntonioJPMorgan ChaseTexas

Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio, TX-130090791 Job Description Chase is the U.S. consumer and commercial... more

Oct 08Stockbroker / StockbrokerTraineeBroker DealerGreat Neck, NY

We are seeking self motivated positive individuals to join our team, and currently accepting applications for a limited number of stockbroker trainee positions to build our... more

Oct 05Legal Secretary - BilingualSonn | ErezMiami, FL

Bilingual Legal Secretary Downtown Miami firm specializing in Securities Arbitration / Litigation and Commercial Litigation seeks experienced (5+ years) legal secretary /...more

Oct 01High Level Sales - Financial ServicesEverest Merchant ServicesNew York, NY

BEFORE APPLYING, PLEASE READ THOROUGHLY THE QUALIFICATIONS AND CHARACTER TRAITS OUR COMPANY IS SEEKING Everest Merchant Services is a rapidly growing standout and a leading... more

Oct 12Regulatory Analyst - Market Regulation, Member TradingFinraNew York, NY

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

Oct 12Compliance Examiner - Member Regulation, Sales PracticeFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: 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... more

Oct 12Regulatory Coordinator - Member Regulation, Sales PracticeFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in New York, NY. To... more

Oct 03Enforcement InvestigatorFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Enforcement Investigator opening in New York, NY. more

Oct 15Regulatory AnalystFinraNew York, NY

We are seeking a well qualified individual for our Regulatory Analyst, Member Trading opening in New York, NY. To be considered for this position, please submit your resume... more

Oct 14Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San AnJPMorgan ChaseSan 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

Oct 13Director - FINRA ComplianceLeading Financial Services FirmNew York, NY

Job Description The professional who fills this position will: Manage SEC registrations Build client relationships, lead a team of professional staff, identify and source new work... more

Oct 12FINRA Legal Extern, Enforcement (UNPAID)Financial Industry Regulatory AuthorityJericho, 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

Oct 11Licensed FINRA Series 6/7 Call Center Rep.Superior GroupDallas, TX

Superior Group is currently searching for two Call Center Representative for our insurance client north of Downtown Dallas 75206. The individuals selected Must hold an ACTIVE... more

Oct 10FINRA Specialist JobScottradeSt Louis, MO

Job ID: 20130207-7503 Description: The main purpose of this position is to process associate data changes related to licensing and FINRA and to administer the FINRA registration... more

Oct 10Financial 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

Oct 08FINRA Specialist Job ID: 20130207ScottradeSt Louis, MO

FINRA Specialist Job ID: 20130207-7503 Description: The main purpose of this position is to process associate data changes related to licensing and FINRA and to administer the... more

Oct 03StockbrokerPendulum Capital MarketsHackensack, NJ

Pendulum Capital is a full service firm with a high energy environment that will support you in growing your business and a team if you so desire. Restaurants and gym facilities... more

Oct 02Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We facilitate secure,... more

Oct 02Operations Center Specialist - New York, NY - Contractor ConversionFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Operations Center Specialist opening in New York,... more

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