An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

March 4, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
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ar 02Service Center StockbrokerRecruit Gaap StaffingRiverside, 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

Mar 01Financial Service Representative Trainee - Westminster, CO JobScottradeArvada, CO

while training to become a licensed stockbroker. It is expected that the incumbent will pass the Series 7 and Series 63 exams within 4-5 months of assuming this position. more

Feb 28Financial ConsultantBcm Global Equity GroupMelville, NY

Financial Consultant (Long Island) Stockbroker - Entry Level Trainee BCM Global Equity Group is looking for individuals with impressive work ethic and a strong desire to succeed. more

Feb 28Associated Investment Services Call Center RepresentativeAssociated Banc-corpGreen Bay, WI

Series 7-Stockbroker Exam Required Series 63-Uniform Securities Agent State Law Exam Required Series 66 License Other Duties and Responsibilities Performs other duties as... more

Feb 26Equity Research Associate - ChemicalsEf6982Houston, TX

Job Description Opportunities exist for Research Associates to join our team in Houston Macquarie Group is a global provider of banking, financial, advisory, investment and... more

Feb 25Financial Adviser - Wealth ManagementING Financial PartnersTysons Corner, VA

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

Feb 25Advisor/StockbrokerSpartan Capital SecuritiesGarden City, NY

Spartan Capital's respected team of investment banking professionals helps our clients to grow assets through portfolio construction and investment diversification, often... more

Feb 22FINRA Legal Extern (Unpaid)FinraPhiladelphia, PA

We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Extern - Department of Enforcement opening in Philadelphia, PA. To be... more

Mar 03Stockbrokers - 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 28Stockbrokers wantedColoradofscBoca Raton, FL

Member of FINRA/SIPC Independent securities B/D has an OSJ office in Boca Raton, FL. We are seeking established registered representatives with books of business to join our team... more

Mar 02Economic Research AnalystFinraWashington, DC

The ideal candidate will possess a strong empirical background and excellent interpersonal skills In addition, most positions require training in economics through the... more

Feb 26Lead Systems Analyst - Rockville, MD - Contractor ConversionFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Lead Systems Analyst opening in Rockville, MD. To be considered for this... more

Feb 26Case Administrator II - Dispute ResolutionFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Case Administrator II opening in New York, NY. To be considered for this... more

Feb 26Regional Counsel, EnforcementFinraNew York, NY

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 considered for this position,... more

Feb 26Regulatory Coordinator - Member Regulation, Sales PracticeFinraAtlanta, GA

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in Atlanta, GA . To be considered for this... more

Feb 22Examiner - TFCE - Financial Operations, Market RegulationFinraNew 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

Feb 22Associate Principal Examiner, Member Regulation, ROOR (New York)FinraNew York, NY

This includes collecting and reviewing member firms records and documents, customer-supplied information, and information available through our systems Knowledge of securities... more

Feb 22Attorney, Office of General CounselFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Attorney opening in Washington, DC . To be considered for this position, please... more

Feb 22Regulatory Analyst - Market Regulation, Options RegulationFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in New York, NY . To be considered for this position,... more

Feb 22Senior Director - Market RegulationFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Senior Director opening in Rockville, MD . To be considered for this position,... more

Feb 21Undergraduate Intern-Application Security EngineeringFinraRockville, MD

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Feb 20Continuing Education AnalystFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Continuing Education Analyst opening in New York, NY. To be considered for this... more

Feb 20Associate Principal Examiner, Member Regulation, ROORFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Principal Examiner opening in New York, NY . To be considered for this... more

Feb 20Lead Systems AnalystFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Lead Systems Analyst opening in Rockville, MD. To be considered for this... more

Feb 20Enforcement CounselFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enforcement Counsel opening in Rockville, MD . To be considered for this... more

Mar 03Stockbrokers - 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

Mar 01Staff Security Engineer - Rockville, MD - Contractor ConversionFinancial Industry Regulatory Authority (finra)New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Staff Security Engineer opening in Rockville, MD. To be considered for this... more

Feb 28Regulatory Analyst - OFDMI - Insider TradingFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst - Insider Trading opening in Rockville, MD. To be considered... more

Feb 28Staff Security Engineer - Rockville, MD - Contractor ConversionFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Staff Security Engineer opening in Rockville, MD . To be considered for this... more

Feb 28Stockbrokers wantedColoradofscBoca Raton, FL

Member of FINRA/SIPC Independent securities B/D has an OSJ office in Boca Raton, FL. We are seeking established registered representatives with books of business to join our team... more

Feb 28Associate Investigator, Office of Fraud Detection and Market Intelligence, Central Review GroupFinraNew York, NY

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 be considered for this... more

Feb 27Case Assistant I - Dispute ResolutionFinraBoca Raton, FL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Case Assistant I opening in Boca Raton, FL . To be considered for this position,... more

Feb 27Program Management Analyst, Business Solutions - New York, NY or Rockville, MDFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Program Management Analyst opening in our New York, NY or Rockville, MD offices . more

Feb 27Attorney, OGC Criminal Prosecution Assistance GroupFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Attorney opening in Washington, DC . To be considered for this position, please... more

Feb 27Analyst II - Information OperationsFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Analyst II opening in Rockville, MD . To be considered for this position, please... more

Feb 27Compliance Examiner - Member Regulation, Sales PracticeFinraDenver, CO

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

Feb 26Graduate/Undergraduate Intern - Financial ReportingFinraRockville, MD

We Work to Protect Investors. Join our Team. 2014 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in... more

Feb 26Anticipated Investment Customer Service Rep I - Broker Service Center -FINRA Series 7 RequiredChaseChicago, IL

Brokerage Services As a Chase employee, you'll be part of a company that makes a real difference every day for our customers, our communities and ourselves. With a focus on... more

Feb 26Deputy District Director, Member Regulation Sales PracticeFinraBoca Raton, FL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Deputy District Director opening in Boca Raton, FL . To be considered for this... more

Feb 26Counsel, Non-Disciplinary LitigationFinraWashington, DC

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Counsel opening in Washington, DC . To be considered for this position, please... more

Feb 25Regulatory Analyst - Market Regulation, Trading AnalysisFinraRockville, MD

Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity Attention to detail is essential... more

Feb 22Senior Internal Auditor (Broker/Dealer, FINRA, SEC)Charlotte, NC

Responsible to be "in-charge' or to "lead' moderate to complex operational or regulatory internal audits including performing risk assessments, developing audit scope and audit... more

Feb 22FINRA Legal Extern (Unpaid)FinraPhiladelphia, PA

We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Extern - Department of Enforcement opening in Philadelphia, PA . To be... more

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