An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

April 8, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
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Apr 08Financial AdvisorCaldwell International SecuritiesBrooklyn, NY

Company Description: Job Description: Seeking qualified Series 7 licensed candidates for a full time position. You will have the opportunity to work along side with and learn... more

Apr 07Wealth Management TrainingNational SecuritiesNew York City, NY

seeks qualified candidate for a full time Stockbroker Trainee Position. Full training ... to become a Fully Licensed Stockbroker Hiring Organization: National Securities...more

Apr 03Private Banker IIIAssociated Banc-corpMilwaukee, WI

Series 7-Stockbroker Exam Other Duties and Responsibilities Performs other duties as assigned. Job Requirements Adherence to Company policy and procedures is required. Perform... more

Apr 01Entry Level Investor Relations for Investment BankClient of Angela MortimerNew York, NY

International Investment Bank and Institutional Stockbroking firm is seeking assistant to the Investor Relations Director.   This is a team role and an excellent entry to this...more

Apr 01Service Center StockbrokerRecruit Gaap StaffingSavannah, 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

Apr 01Equity Research Associate - Specialty Fi...Ef6982New York, NY

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

Apr 07Stockbrokers - 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

Apr 04Stockbroker TraineeCommerce One FinancialUniondale, NY

applications for a limited number of stockbroker trainee positions.  Whether ... Services Industry!As a Commerce One Stockbroker you can run your business, determine... more

Apr 08Corporate Actions Analyst - Transparency Services, Market OperationsFinraRockville, MD

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

Apr 07Stockbrokers - 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

Apr 06Compliance Examiner - Member Regulation, Sales PracticeFinancial 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 Compliance Examiner opening in New York, NY. To be considered for this position,... more

Apr 05Financial Analyst II - Financial PlanningFinraRockville, MD

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

Apr 05Regulatory Analyst - OFDMI-Fraud - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Apr 05Regulatory Analyst I - OFMDI - Front End CauseFinraRockville, MD

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

Apr 05Compliance Examiner - Member Regulation, Sales PracticeFinraNew 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... more

Apr 05Regulatory Coordinator - Member Regulation, Sales PracticeFinraChicago, IL

We Work to Protect Investors. Join our Team.   FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in our Chicago, IL, District office. To be... more

Apr 05Compliance Examiner, Member RegulationFinraBoca Raton, FL

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

Apr 04Stockbroker TraineeCommerce One FinancialUniondale, NY

What distinguishes highly successful people is their ability to capitalize on the right opportunity when it presents itself. The Financial Industry is growing and we are seeking... more

Apr 04Regulatory Analyst - OFDMI-FraudFinraRockville, MD

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

Apr 03Vice President & Associate General Counsel, Contracts & Code of Conduct - Washington, DCFinraWashington

We Work to Protect Investors. Join our Team.   FINRA is seeking a well-qualified individual for our Vice President & Associate General Counsel, Contracts & Code of Conduct... more

Apr 02AssociateTest Development AnalystFinraRockville, MD

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

Apr 02Facilities Administrator II - Corporate Real EstateFinraNew York, NY

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

Apr 02Associate Gateway AgentFinraRockville, MD

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

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