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by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

January 21, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
For a full listing of current job openings, 
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Jan 20Stockbrokers - 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

Jan 20FINRAUndergraduate/Graduate Intern, EnforcementFinancial Industry Regulatory AuthorityRockville, MD

Title: FINRA Undergraduate/Graduate Intern, Enforcement - Rockville, MDLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer Internship... more

Jan 17Regulatory Analyst - Market Regulation, Market Manipulation Investigations/Trading AnalysisFinraRockville, MD

Required experience: 0 - 2 yearsMinimum required education: Bachelor's DegreeJob category: Investment Banking & Advisory Ability to initiate and complete quality reviews Grade 44... more

Jan 15FINRA Undergraduate Intern, Emerging Regulatory Issues - WashingtonFinancial Industry Regulatory AuthorityWashington D.c., DC

Title: FINRA Undergraduate Intern, Emerging Regulatory Issues - Washington, DCLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer Internship... more

Jan 15FINRAUndergraduate/Graduate Intern, Member RegulationFinancial Industry Regulatory AuthorityBoca Raton, FL

Title: FINRA Undergraduate/Graduate Intern, Member Regulation - Boca Raton, FLLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer Internship... more

Jan 15FINRAUndergraduate/Graduate Intern, HR TrainingFinancial Industry Regulatory AuthorityRockville, MD

Title: FINRA Undergraduate/Graduate Intern, HR Training - Rockville, MDLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer Internship... more

Jan 14Stockbroker TraineeNational SecuritiesNew York, NY

Publicly traded full service brokerage firm that has been in business since 1947 seeks qualified candidate for a full time Stockbroker Trainee Position. Full training and...more

Jan 14Regulatory Analyst OFDMI Insider TradingFinraRockville, MD

Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity The information provided above has... more

Jan 13FINRAUndergraduate/Graduate Intern, Regulatory Programs - WashingtonFinancial Industry Regulatory AuthorityWashington D.c., DC

Title: FINRA Undergraduate/Graduate Intern, Regulatory Programs - Washington, DCLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer... more

Jan 13FINRA 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

Jan 12FINRA Undergraduate Intern, OGC Code of Conduct - WashingtonFinancial Industry Regulatory AuthorityWashington D.c., DC

Title: FINRA Undergraduate Intern, OGC Code of Conduct - Washington, DCLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.2014 Summer Internship... more

Jan 08Call Center Associate, FINRA99 or 6Efusion PartnersLakewood, OH

Under the direction of the Manager, the Representative Specialist must work to achieve the desired goals set forth and produce results by working independently and with other team... more

Jan 07Financial 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

Jan 01StockbrokerPendulum 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

Jan 20Entry level Stock BrokerGreenwich Point Wealth ManagementGreenwich, CT

Entry Level Stockbroker opportunityConsidering a career in finance?We are currently hiring for our broker trainee program in the Greenwich, CT office. The Broker Trainee Program... more

Jan 20AdvertisingSepClearwater, FL

SEP, located in Clearwater, is seeking Professional Salespeople with a proven track record and Recent College Grads who are highly motivated and career-minded.Tired of working in... more

Jan 19Service Center StockbrokerRecruit Gaap StaffingKansas City, MO

Recruit GAAP Staffing is search for a full time Service Center Stockbroker for a client company located in Kansas City, MO area. Industry: Financial Services. With an environment... more

Jan 16Wealth Management 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

Jan 13Stockbroker InternshipNational SecuritiesNew York, NY

Interns will not work more than 10 hours a weekRequired experience: 0 - 2 yearsMinimum required education: Bachelor's DegreeJob category: Accounting, Insurance & Finance;Sales,... more

Jan 13Stockbroker Internship |National SecuritiesNew York, NY

Description: Find clients and grow relationshipsStock, Mutual Funds, & ETFsOptions StrategiesBonds & Fixed InvestmentsLife Insurance & Variable AnnuitiesRetirement...more

Jan 12Service Center Stockbroker - Financial ServicesWeb Recruiter Staffing DivisionNorth Las Vegas, NV

The Financial Services industry is seeking a full-time Service Center Stockbroker for the North Las Vegas, NV area. Web Recruiter seeks someone who can perform the following... more

Jan 11Financial Service Representative Trainee - Westminister, CO JobScottradeWestminster, CO

Job ID: 20140801-8439 Description: The main purpose of this position is to answer customer calls and provide basic information while training to become a licensed stockbroker. It... more

Jan 06Service Center Stockbroker(2-2927FL)Recruit GaapDoral, FL

The Financial Services industry is seeking a full-time Service Center Stockbroker for the Doral, FL area. Starting wage or salary up to $15 per Hour. Job Code: 2-2927FL.more

Jan 04Equity Research Associate - Exploration & Production (E&P)MacquarieDenver, CO

EQUITY RESEARCH ASSOCIATE - EXPLORATION & PRODUCTION (E&P) Job number: MSG-917065 Group: Macquarie Securities Group Division: Cash - Research Recruiter: Lacey Lane Work type: Full... more

Jan 03Stock Broker / Stock Broker TraineeVfinance InvestmentsMiami, FL

Stock Broker / Stock Broker Trainee We are currently recruiting for established Stock Brokers and Stockbroker trainees for our office in downtown Miami. This is an excellent... more

Jan 20Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

and is seeking seasoned, aggressive, dynamic stockbrokers and traders that are looking to regain the financial strength once offered by the stock market. Working 5 times as hard... more

Jan 14Stockbroker TraineeNational SecuritiesNew York, NY

Publicly traded full service brokerage firm that has been in business since 1947 seeks qualified candidate for a full time Stockbroker Trainee Position. Full training and...more

Jan 07Financial 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

Jan 01StockbrokerPendulum Capital MarketsHackensack, NJ

u so desire. Restaurants and gym facilities on location. Class A building. Highly competetive compensation package. Opportunities available for both junior and senior... more

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