An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 18, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
For a full listing of current job openings, 
visit the BrokeAndBroker 

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: 
stockbrokers, advisors, lawyers, regulators, compliance officers, and 
back-office staff.
  
Click POST A JOB and your position will be promptly listed.  
Only $25 for 30 days!

Feb 17Stock Broker & Stock Broker TraineeVfinance InvestmentsMiami, FL

Broker Trainee We are currently recruiting Stockbroker trainees for our office in downtown Miami. This is an excellent career changing opportunity. Hard work and a very strong... more

Feb 14Service Center StockbrokerRecruit Gaap StaffingKansas City, MO

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 described as:... more

Feb 13Service Center TechnicianScottradeWestminster, CO

Service Center Technician - Westminster, CO Job ID: 20141102-8590 Description:The main purpose of this position is to provide a quality customer service experience supporting... more

Feb 10Macquarie Securities Group - Energy Research Associate (00736392)Macquarie HoldingsHouston, TX

Opportunities exist for Research Associates to join our team in Houston. Commodities Research Associate - Global Oil Macquarie Group is a global provider of banking, financial,... more

Feb 08Account Executive- Large Case Group & Voluntary BenefitsUnumLos Angeles, 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

Feb 07Stock Plan Administrator (1879)San Jose, CA

We are currently seeking a Stock Plan Administrator for a 5+ month contract in San Jose:SUMMARYWe are looking for a highly detail-oriented Stock Plan Administrator to process... more

Feb 07Account 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

Feb 05Financial AdvisorStockbrokerEdward JonesEl Paso, TX

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

Feb 04Financial Adviser - Wealth ManagementING Financial PartnersPhiladelphia, PA

Key words: Financial Advisor, Broker, Stockbroker, Insurance, Financial Planner, Asset Management, Wealth Planner, Investment Sales, Registered Representative, Investment Advisor,... more

Feb 03Stock 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

Feb 01Roadshow and Conference CoordinatorEf6982New York, NY

Job Description We are looking for a Roadshow Coordinator to join our New York Corporate Access team. Macquarie Group is a global provider of banking, financial, advisory,... more

Feb 17Stockbrokers - 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

Feb 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

Feb 17FINRA Series 7, 63S3San Antonio, TX

Financial Solutions Advisor - FINRA Series 7, 63 must have active Certifications. The S3 DifferenceStrategic Staffing Solutions (S3) is the 6th largest Diversity Staffing Firm in...more

Feb 17Stockbrokers - 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

Feb 15Compliance Examiner - Member Regulation, Sales Practice - New York, NY(Job Number: 003023) (00744796)FinraNew York, NY

Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the... more

Feb 15Associate Director, Risk Management - Washington, DC or New York, NY(Job Number: 003150) (00744788)FinraWashington, DC

The Associate Director of Market Risk is responsible for the design, development, enhancement, and implementation of key market risk measurement methodologies and approaches as... more

Feb 15Associate Director, Risk Management - New York, NY(Job Number: 003149) (00744797)FinraNew York, NY

The Associate Director of Market Risk is responsible for the design, development, enhancement, and implementation of key market risk measurement methodologies and approaches as... more

Feb 12FINRA 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

Feb 12Contracting & FINRARepresentativeJohn HancockPortsmouth, NH

Title: Contracting & FINRA RepresentativeLocation: New Hampshire-PortsmouthOther Locations:Responsibilities:Signator Investors Inc., John Hancocks broker dealer, is a client... more

Feb 12FINRAUndergraduate/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

Feb 10Vice President & Associate General CounselFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Vice President & Associate General Counsel opening in Washington, DC . To be... more

Feb 10Compliance Examiner - Member Regulation, Sales Practice - Philadelphia, PA (00734721)FinraPhiladelphia, PA

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Philadelphia, PA. Examiners review or investigate... more

Feb 10Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515) (00707779)FinraChicago, IL

Conducts on-site examinations and assesses Floor member and member organization's financial and operational condition and compliance with securities rules and... more

Feb 10Regulatory Analyst - Market Regulation, Market Manipulation Investigations/Trading Analysis (00734842)FinraRockville, MD

FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD. Job Summary: The Regulatory Analyst conducts routine review and investigations... more

Feb 08FINRA Undergraduate Intern, Emerging Regulatory IssuesFinancial Industry Regulatory AuthorityWashington, DC

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

Feb 08FINRAUndergraduate/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

Feb 07FINRAUndergraduate/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

Feb 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

Feb 07Contracting & FINRARepresentativeJohn Hancock Financial ServicesPortsmouth, NH

Contracting & FINRA Representative-RLL0125280Responsibilities: Signator Investors Inc., John Hancock's broker dealer, is a client focused organization that is looking for people... more

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement BrokerAndBroker Employment Guest Blog Guest Blogger Wells Fargo Street Sweeper Bill SInger Jobs Aegis Frumento OBA U5 Fraud Promissory Note U4 Email Merrill Lynch Morgan Stanley UBS EFL Defamation Elderly CRD Wire Fraud Statutory Disqualification InSecurities OHO BrokeAndBroker PST Suitability Forbes FBI Whistleblower NAC Rule 3270 ALJ Ponzi Citigroup DOJ Supervision BrokerCheck Borrowing Form U4 IRS OIP SDNY Willful Supreme Court Expenses Outside Business Activity Bank Pro Se Felony Ameriprise WSP Wrongful Termination Rule 2080 Securities Industry Commentator Form U5 Dodd Frank Wachovia Discretion Rule 8210 IRA RIA Rule 2010 Discovery Raymond James Business Expenses Wife NASD Insider Trading Mail Fraud JP Morgan Bar CCO Punitive Damages Conversion Husband Rule 1122 TRO Checks Forgery LPL Willfulness Rule 3240 Edward Jones Settlement Estate Bankruptcy Tax Trump Outside Business Activities Margin Credit Card Employment Tuesday Commissions Schwab Madoff NYSE 2Cir Stephen Kohn Frumento Wall Street Insurance arbitration Promissory Notes Rule 3040 Beneficiary Annuities Small Firm Private Securities Transaction Corrective Action Statement Injunction Impersonation Rule 3280 Facebook Options Power of Attorney FAA Tax Liens Antitrust Indictment Real Estate Bank of America Customer CFTC Rule 12206 Tax Lien Remand Trust Exam ETF Spouse SRO Due Diligence Test Street Legal ATM Stay Mortgage Trustee Barclays Signature COVID OTR Offer of Settlement Complaint Misdemeanor Sanctions Rule 2510 VA Solicitation Goldman Sachs Wire Away Account Annuity Case In Point ACQ Crypto POA email Explained Decision Appeal Securities Fraud Initial Decision Spouses Jurisdiction Loan ARS NASDAQ Motion to Dismiss Lien Rule 4511 OWB Retaliation Eligibility Rule Schapiro Mandatory Arbitration Rule 4530 JPMorgan 9Cir DCCir E*Trade Burris Rule 12200 NSF T&P Unauthorized Discretion Blockchain Employee Forgivable Loan Money Laundering Liens Discrimination Cease And Desist HFT Great Recession Bonus RBC Deutsche Bank Reg SP Conspiracy PCAOB Signatures Fidelity NASAA LOA Retirement Failure to Supervise TD Ameritrade Dissent Compliance Reimbursement REIT Unfair Competition Manifest Disregard Continuing Education Flash Crash Fiduciary AML Scottrade Motion to Vacate Disgorgement expungement Severance Unsuitability Chase Huffington Post Credit Cards Undisclosed Settlement Hacking Divorce Broker Protocol Vacatur Rule 3010 Willfully Class Action Personal Expenses CRS Identity Theft Board Gallagher Bharara Will RRBDLAW.com Deceased IAR Cryptocurrency Malware Variable Annuity brokeandbroker 10Cir SDFL Hacker Bitcoin Rule 3050 MSSB BD Registered Rep Magazine Unauthorized Trading Customer Complaint Lehman Brothers MC-400 Disclosure Forex Wey Spoofing Zipper Due Process Audit Emails Sexist Coronavirus Examination Away Accounts Social Media Self Regulation Stifel Wedbush FINRA Arbitration Letter of Authorization Widow employment Stockbrokers Loans Internet Apple Website Variable Annuities Rule 3110 Annual Compliance Questionnaire Sexism Lucia Private Placement Public Interest Registration jobs Solicited FINOP Dakota Securities RMBS Crowdfunding 2nd Circuit Rule 12904 Rule 12805 Rule 2150 Private Securities Transactions Brummer Second Circuit Kokesh Elder Abuse 3Cir Statute of Limitations Commission Postponement FINRA Board WSPs Fees Rule 2111 LIBOR PNC Net Capital Trading Platform Indemnification Confidential Information Credit Suisse Prison Lehman BOP PIABA BrokeAndBroker Bill Singer Arbitraiton BrokeandBroker Suspension BrokeAndBroker.com Blog Debit Card Bonds Judgments 4Cir Whistleblowing Charles Schwab Newman NYAG RR Diversity Unsolicited Non-Solicitation IC3 MetLife Unjust Enrichment Morgan Keegan Hilton Weiner ADA Cheating Hedge Fund Bureau of Prisons Robinhood CE China Sanction Guidelines Telephone Waiver Rule 9552 Time And Price TOD Imposter bill singer FOREX Marijuana Motion to Confirm RRBDlaw.com Bear Stearns Plea Small Firm Governor Private Placements SunTrust Stifel Nicolaus Rule 2210 Mutual Funds Embezzlement Board of Governors Confirm Rule 4513 Covid Statutory Disqualification Committee JOBS Act Lawyer Membership Continuance 11Cir Series 7 JPM Piwowar Elder Fraud Rule 13200 Regulation SP Testimony Rakoff Charge Puerto Rico Reg S-P Broke And Broker Joshua Brown Compensation Exhaustion of Administrative Remedies CPA Counterclaim Gold Concentration Mother Oppenheimer Employment Agreement Tortious Interference Auction Rate Securities Knight Check Kiting Rule 2081 IPO 9/11 CNBC Restaurant FNMA DOL Botkin Obstruction of Justice Racism OSHA WB-APP Protocol Whistleblowers Executor Pennystocks Non Solicitation Margin Call Check Stanford Irreparable Harm Feigenbaum Appointments Clause Raiding Federal Reserve Breach of Contract Rationale Unregistered Customers Banc of America VIX Trade Secrets Standing NoCA Circuit Court Bloomberg Puts Cannabis Information Customer Information Johnny Burris Testing SAC AAA Lawyers Bandimere CEO Unsuitable Affiliate Leveraged ETF Confidentiality Woody Allen Bank Fraud Confidential Funds Churning HSBC Michael King Associates Khuzami Aleynikov Medicare Charity Rule 13805 Hurry Taxes Rosenthal Recruiting Pennystock TheBlot USERRA Sales Assistant Dementia Corruption Termination Phishing Morgan Stanely Passcode EIA Immunity Michael King High Frequency Trading CMA ING Service Biden Conflict OIG Wire Transfer Affinity Fraud Day Trading Shah Gilani Ketchum TSSB MF Global Rule 12504 Enforcement PN Article V securities industry commentator Wine 1Cir Research Inability to Pay Robert Cook Reg D Vault JPMS Sexual Harassment Probate Eligibility Layering Honorarium Teleconference Relevant Disciplinary History Hugh Hewitt Wanger Over Concentration PAQ Stipulated Award Vietnam Ride the Thunder Marines Marine Corps Bid Rigging DNJ Laptop Yesenia Guitron Government Accountability Project Guitron Trader Death Outside Account Aguilar Whitman Finra FINRA AWC Parking signature Conflict of Interest Test Center 6th Circuit Written Supervisory Procedures Side Bar Casino Chase Investment Services Kon Consent Order Amazon Ethereum David Sobel money laundering fraud Third Party Vendor Accounting 10b-5 TCR Absolute Immunity Gensler Spoliation FMLA White Rule 3310 CDO NDCA Talman Harris Subpoena Nietzsche ICO Morgan Stanley Smith Barney EDNY Finder\'s Fee Hester Peirce BrokeAndBroke Constitution Self Regulatory Organization Sarbanes Oxley Saad OCIE Penson Disability Failure To Supervise ACH Joint Account Argentina Deferred Compensation Marketplace NPR Obstruction Rule 12212 IM Congress Attorneys Fees 6Cir McDuff Medical Condition Leggett Motion to Compel Smith Barney Google Chief Compliance Officer Statement of Corrective Action Star Wars Online AXA Corzine Sharemaster Form ADV Moon Negligence Lincoln Financial Administrative Remedies supervision Rule 9554 Mutual Fund Hearing Beneficiaries Commodities Fraud Rule 3030 401k Poteroba Unauthorized Practice of Law Commissioner Stein Restitution 401(k) NYG Capital Newport Coast Securities Daughter Self Reporting NY Life wrongful termination Do Not Call Subject Matter Jurisdiction Expert Witness Blank Forms 40 Act Verbal Discretion Chiasson Fiduciary Duty 11th Circuit Counterfeit Sexual Discrimination State Actor Kiting Texting SP Schneiderman 5Cir Revocation Pruco CGMI Attorneys\' Fees Risk Control Person Scholander Fee Florida Fines Title VII Wires TIC Chase Bank Timban ESOP Motion Book of Business Rule 21F Rule 2430 Confirmation Arbitration 10b-10 Hospital Electronic Communications CD Rule 9216 Fifth Amendment Microcap Excessive Trading Johnson Permanent Bar Reverse Life Insurance Dell RICO Taft Correctional Institution Christian Stanley Meals Fowler RRBDlaw YouTube For Cause Investment Adviser Stockbroker Inside Information FCI FCI Beaumont Withdrawals DMD Falsification FOCUS Fine Settling Away Oral Discretion Client Information SD WaMu Resignation Slander Capital Gains Rule 13504 Offset Red Flags Guest Bloggers Preliminary Injunction Privilege David Lerner FCPA Thain Rory Flynn Arrest NRF SIFMA Money Market BrokerAndBroker.com BrokeAndbroker Ethics Regulation S-P Investor Alert elderly mail fraud Gross Regulation Son Moore Cantor Fitzgerald Obama S&P Life Insurance Puerto Rico Bonds Commodities Self Directed Respondeat Superior Reform Acosta Tax Fraud Department of Justice Judgment Series 79 Stop Loss FAP Escrow OWWP FINRA Small Firm Trading Civil Rights Elder Law Elles Crime VXX Copyright Equity Indexed Annuities Prudential Pension Disciplinary History Data Inmate BATS Extortion Chevron wire fraud Rule 2370 Outside Accounts Turnover Female Scottsdale Jennifer Tarr Rule 1031 Relevant LLC Reuters Hotel Default Cold Spring Advisory Group Annual Audit Non Solicit Selling Away GameStop Netschi Password Gamification Backstage Wall Street First Amendment Libel 17a-5 Outside Counsel Trainee Fee Laser sexism Harris Expense expenses Naskovets Tipper Jay Clayton Non Compete Executrix Altered Records Covid-19 Tippee Margin Calls NPI Examinations QuadrigaCX Binary Options Reasonable Sears Merrill Statute of Limitation Clayton Koval Bob Dylan Pacifico Vacate Clearing Firm Press Release reimbursement Ten Commandments Anderson Flash Drive Solomon EB-5 Non-Prosecution Agreement FNI Media EEOC Bequest whistleblower Vaccarelli AI Bezos Dissident Mistake Witness Tampering JPMorgan Chase Romer ETFs Municipal Bonds Principal Mattera Kenneth Starr Elon Musk Theft Tesla Murray God Capitalism Exotic ETF Sterne Agee Hayden Securities and Exchange Commission Skimming Rule 420 Game of Thrones Quasi Governmental Burden of Proof Rule 12511 Production Alcoholism Motiion to Acquit Stock Promotion securities fraud Cryptocurrencies Jury Instructions Khan No Show Dostoevsky Coin At Will RRBDLAW Purshe Kaplan SDOH Lexicon Preet Bharara PHC Texas State Securities Board Vungarala Twitter Gifts Section 1332 Schottenstein Malice NFA Promoter Production Bonus Checking Transitional Bonus Well Managed Portfolio Disney IBM Notice Forfeiture Brokeandbroker.com Legend Banks Arbitrability BBVA DPA Goble Mail Audit Committee Prime Bank Nasdaq Fundacion Nicor Nicolas Corcione CMO Subway Impersonator Training Frivolous Ruder Task Force Hackers Panama Conflicts Third Party Beneficiary House Financial Services Excel GME Deferred Prosecution Agreement Broy SDCA MBS Turbeville Collateral Leveraged ETFs Work Product Criminal Jon Corzine South Park Gnomes Supervisor DWI Practice Sale Merill Lynch Galleon Wages Dinner Non-Solicit ADEA Age Discrimination NYLIFE Kennedy Cybercrime Lewis Carroll 9th Circuit Undercover Cybersecurity Currency Compromise Wire Transfers Fiero Sex FINRA Foundation Beatles iPhone FDA ALJ Foelak Ecuador BrokeandBroker.com FinCEN Bank Secrecy Act Obamacare Patriot Act Law School National Securities Transfer MDLA Mary Schapiro Arbitrator EDPA Books And Records Zoom Wells Fargo Advisors McCartney Hearsay Rules of Practice FINRA Eligibility Rule Springsteen CAT Life Settlement College Preliminary Determination Travel Payroll Short Sale Lee Apartment State Farm Bill Singer BrokeAndBroker Particularity Rule 13904 Hurtado William Faulkner US Airways Cellphone Bribe Rule 144 Tennis Court Retired Woman With Cane Fraudulent Inducement ESG ALJ Grimes Compliance Questionnaire Mary Jo White Penalty Stephen A. Kohn Merger 8210 PSRO Racial Discrimination Rule 3210 Back Dated GAP Janney Montgomery Scott Martoma AIG Res Judicata UIT SIPC Initials Investacorp ADR Pershing Exception Reports Father Tysk ACT! Altered Citibank BIll Singer AWC. FINRA Tax Advice Hertz Scam Reverse Merger Lek Guardianship Spam Court of Appeal Superior Court Women Gabelli Costa Rica Liquidation Salman Fourth Amendment Allstate Personal Information HBO Proctor Last Known Address Collateral Bar Municipal Advisor Retroactive Bar Retroactive Series 66 In Connection With NRSRO Boyland Mantar FTC Bartko Joint Production In House Counsel Schumer Espionage Financial Disclosure Customer Files Walter Section 206 Blackbook Compliance Officer Diabetes Dow Powell Nationwide Reason for Termination Swaps Rule 12104 Rule 13104 Investment Advisers Act Deceased Customer Kierkegaard bank Motion To Dismiss Transamerica Varney Harassment Summary Judgment Office of Special Counsel Baby Boomers Punitive Securities America Led Zeppelin Bill singer Income MSPB Sharing Agreement Unauthorized Trades Stipulation Orders Undertaking Dylan Daspin DDC Advisor Placement Group Rule 21F-17 Silver false statements Credit Repair Branch Manager Kent Motion to Postpone Bank Guarantee Berthel Fisher Constructive Discharge Martin Cherry Picking Allocation Oilpro Books and Records Countrywide Tran Disparate Treatment NML Newbridge Diamonds Eric Stein Grievance Guardian JAMS Confidential Customer Information Public Arbitrator Voya Rule 2330 Extraordinary Circumstances Liu Exhaustion Doctrine Wang Evidence Molchatsky SEC Rules of Practice BitTorrent Willfull Traders 1099