Oct 10 | 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 | |||
Oct 03 | Stockbroker | Pendulum Capital Markets | Hackensack, 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 02 | Stockbrokers - New Industry | Everest Merchant Services | New 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 21 | FINRA Legal Extern, Enforcement (UNPAID) | Finra | Jericho, 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 21 | VP-Corporate Finance | Insperity | Houston, TX |
? EOE ? Keywords: broker, brokerage, stockbroker, financial, portfolio, accounting, finance, credit, loan, mortgage, securities, financial products, financial services VP;...more | |||
Oct 20 | Service Center Stockbroker | Recruit Gaap Staffing | Savannah, 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 19 | Branch Manager - The Villages, FL Job | Scottrade | The 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 18 | Financial AdvisorStockbroker | Edward Jones | Kansas 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 17 | Compliance Executive | Compliance Search International | England, 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 14 | Stockbroker Internship | New 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 13 | Cold Caller | Select Family of Staffing Companies | Tinton 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 11 | Stockbroker Internship | National Securities | New 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 08 | Stockbroker /Stockbroker Trainee | Broker Dealer | Great 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 08 | STOCKBROKER /STOCKBROKER TRAINEE | Long 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 01 | Stock Broker / Stock Broker Trainee | Vfinance Investments | Miami, 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 16 | FINRA (Unpaid) Extern - OFDMI - Central Review Group | Finra | New 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 15 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required - Chicago | JPMorgan Chase | Illinois |
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 14 | Stockbroker Internship | New 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 11 | Stockbroker Internship | National Securities | New 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 11 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Wealth Mgmt - Sourcing Req - San Antonio | JPMorgan Chase | Texas |
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 09 | Broker Dealer Principal (FINRA Series 7 & 24 Required) | MetLife | Charlotte, NC |
Functional Responsibilities: * Highest level non-managerial individual contributor in this family, widely known for his/her subject matter expertise. Works... more | |||
Oct 08 | Stockbroker /Stockbroker Trainee | Broker Dealer | Great 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 17 | Compliance Examiner - Member Regulation, Membership Application Program | Finra | New 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 17 | 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 | |||
Oct 17 | Compliance Examiner - Member Regulation, Sales Practice | Finra | Woodbridge, 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 17 | Compliance Examiner, TMMS Equities, Market Regulation | Finra | New 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 12 | Regulatory Analyst - Market Regulation, Member Trading | Finra | New 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 03 | Enforcement Investigator | Finra | New 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 21 | 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 | |||
Oct 20 | FINRA Specialist Job ID: 20130207 | Scottrade | St 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 17 | 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: 130090132... more | |||
Oct 17 | Regulatory Analyst - Market Regulation, Fixed Income - Corporate Bonds | 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 | |||
Oct 16 | FINRA Licensed Compliance Analyst | Mergis Group, A Division of Spherion | Atlanta, 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 15 | Regulatory Analyst | Finra | New 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 15 | Investment Customer Service Rep I - Broker Service Center - FINRASeries 7 Required | Chase | Chicago, 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 14 | 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 | |||
Oct 13 | Director - FINRACompliance | Leading Financial Services Firm | New 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 12 | Regulatory Coordinator - Member Regulation, Sales Practice | Finra | New 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 12 | 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 | |||
Oct 11 | Licensed FINRA Series 6/7 Call Center Rep. | Superior Group | Dallas, 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 10 | FINRA Specialist Job | Scottrade | St 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 | |||
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