An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

October 22, 2013

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


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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 21FINRA 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 21VP-Corporate FinanceInsperityHouston, TX

? EOE ? Keywords: broker, brokerage, stockbroker, financial, portfolio, accounting, finance, credit, loan, mortgage, securities, financial products, financial services VP;...more

Oct 20Service Center StockbrokerRecruit Gaap StaffingSavannah, GA

Job Title: Service Center Stockbroker. Recruit GAAP Staffing is searching for a full time Service Center Stockbroker for a company located in Savannah, GA. Industry Environment:... more

Oct 19Branch Manager - The Villages, FL JobScottradeThe Villages, FL

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, Inc.,... more

Oct 18Financial AdvisorStockbrokerEdward JonesKansas City, MO

Edward Jones provides exceptional opportunities for experienced financial advisors, brokers or proven performers from other careers looking to get into the financial services... more

Oct 17Compliance ExecutiveCompliance Search InternationalEngland, AR

My client, a leading stockbroker with offices across the UK and abroad, has an exciting opportunity for a Compliance Executive to join their compliance team due to an internal... 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 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 /Stockbroker TraineeBroker 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 08STOCKBROKER /STOCKBROKER TRAINEELong Island, KS

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 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 16FINRA (Unpaid) Extern - OFDMI - Central Review GroupFinraNew York, NY

We Work to Protect Investors. Join our Team The Financial Industry Regulatory Authority (FINRA) seeks a well-qualified Extern for the Fall semester. The purpose is to obtain an... more

Oct 15Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - ChicagoJPMorgan ChaseIllinois

Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL-130090132 Job Description Chase is the U.S. consumer and commercial banking... 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 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 09Broker Dealer Principal (FINRA Series 7 & 24 Required)MetLifeCharlotte, NC

Functional Responsibilities: * Highest level non-managerial individual contributor in this family, widely known for his/her subject matter expertise. Works... more

Oct 08Stockbroker /Stockbroker TraineeBroker 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 17Compliance Examiner - Member Regulation, Membership Application ProgramFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for ourCompliance Examineropening inMembership Application Program (MAP)of the Member... more

Oct 17Financial Operations Examiner - Member Regulation, ROORFinraNew 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

Oct 17Compliance Examiner - Member Regulation, Sales PracticeFinraWoodbridge, NJ

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Woodbridge, NJ . To be considered for this... more

Oct 17Compliance Examiner, TMMS Equities, Market RegulationFinraNew York, NY

DESCRIPTION/RESPONSIBILITIES: We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner within our Market Regulation... 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 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 21FINRA Compliance OfficerSicor SecuritiesDayton, 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

Oct 20FINRA 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 17Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredJPMorgan ChaseChicago, 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: 130090132... more

Oct 17Regulatory Analyst - Market Regulation, Fixed Income - Corporate BondsFinraRockville, 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

Oct 16FINRA Licensed Compliance AnalystMergis Group, A Division of SpherionAtlanta, GA

Review of email and written correspondence to ensure compliance with stated firm policies, which includes but is not limited to: incoming and outgoing emails, client letters,... 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 15Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 RequiredChaseChicago, IL

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and operations... 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 - FINRAComplianceLeading 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 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 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





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