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by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 26, 2013

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


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Nov 25Stockbrokers - New IndustryEverest Merchant ServicesNew 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

Nov 23High Risk Broker Director, EnforcementFinraNew York, NY

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

Nov 23Enforcement CounselFinraNew York, NY

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

Nov 23Director, Enforcement CenterFinraNew York, NY

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

Nov 23FINRA Legal Intern, OGC CPAG - WashingtonFinancial Industry Regulatory AuthorityWashington D.c., DC

Title: FINRA Legal Intern, OGC CPAG - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. 2014 Spring Internship Program FINRA is... more

Nov 22Stockbrokers - 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

Nov 21Regional Counsel, EnforcementFinraNew York, NY

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

Nov 20StockbrokerScottsdale Capital AdvisorsScottsdale, AZ

Stockbroker (Scottsdale) Scottsdale Capital Advisors is a well established and growing broker-dealer located in Scottsdale, AZ. We are seeking an outgoing, energetic, highly... more

Nov 18Associate Investigator, Office of Fraud Detection and Market Intelligence, Central Review GroupFinraNew York, NY

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

Nov 18Senior Customer Service Representative (w/validFINRA Series 6 License)Exl ServiceRichmond, VA

EXL looks deeper. Deeper into your business to find smarter solutions and clearer strategies for a better business model. We believe that businesses must look deeper at how they... more

Nov 18Associate Investigator, Office of Fraud Detection and Market Intelligence, Central Review Group - NeFinraNew York, NY

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

Nov 17FINRA 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

Nov 16Fianancial Advisor /StockbrokerSouthport Financial/raymondjamesConnecticut

We are an independent, full service investment firm located in Southport, CT looking for a Financial Advisor to join our team. We Offer : Vibrant, comfortable atmosphere where you... more

Nov 15Compliance Examiner - Market Regulation, TMMS OptionsFinraNew 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

Nov 15FINRA Compliance OfficerSicor SecuritiesDayton, OH

Company Description: Job Description: Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of... more

Nov 12Stockbroker Trainee - Entry Level (Paid Training and Licensing)Global Arena CapitalNew York, NY

Stockbroker Trainee - Entry Level (Paid Training and Licensing) Job Description Become a fully trained and licensed stockbroker and build yourself a great career with a solid... more

Nov 07Business Analyst, Sr.Specialist - Market RegulationFinraNew York, NY

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

Nov 06Principal Associate, Brokerage FINRA Principal - New OrleansMajor Diversified Banking CompanyMelville, NY

Summary: Participate in the approval process for brokerage, annuity and life insurance trades. Apply consistency in decision making, thorough review of account paperwork and... more

Nov 06Financial 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

Nov 06Investment 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

Nov 02StockbrokerPendulum 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

Nov 01Compliance/Regulatory Audits & Inquiries/SEC,FINRAJersey City, NJ

Leading Fortune 500 Global Financial Services and Investment firm is seeking a talented Compliance - Regulatory Audits & Inquiries - Consultant to join their team. Work for an... more

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