An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

April 15, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs
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Apr 14Stockbrokers - 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 09Stockbroker/ Investment advisorCaldwell International SecuritiesBrooklyn, NY

Seeking qualified Series 7 licensed candidates for a full time position. You will have the opportunity to work along side with and learn from seasoned veterans of the industry. more

Apr 07Stockbroker 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,...more

Apr 14Private Banker IIIAssociated Banc-corpGreen Bay, 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 13Service 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

Apr 13Entry Level Investor Relations for Investment BankClient of Angela MortimerNew York, NY

Company Description: Job Description: International Investment Bank and Institutional Stockbroking firm is seeking assistant to the Investor Relations Director. This is a team... more

Apr 13Stockbrokers - New IndustryEverest Merchant ServicesNew York, NY

Company Description: EVEREST MERCHANT SERVICES is a leading provider of specialized yet affordable credit card processing solutions for a vast array of processing requirements. We... more

Apr 12Office ManagerHebeler FinancialClearwater, FL

Clearwater. Previous experience working for stockbroker or life insurance agent a plus. Must be computer savvy, know powerpoint, energetic, outgoing personality, great phone... more

Apr 11Branch Manager, Stock BrokersBrookville Capital PartnersUniondale, NY

Company Description: Job Description: Boutique Investment Banking firm with offices on Long Island, is looking for experienced branch manager, must be able to enter trades and... more

Apr 10Advertising SalesSepClearwater, FL

with unlimited income potential. We welcome stockbroker and advertising professionals - people who are used to smiling and dialing. Serious contenders only, please call Kevin... more

Apr 10Equity Research Associate - Software (00769837)Macquarie HoldingsNew York, NY

* Back to Search Results * Next * Previous Equity Research Associate - Software * Salary: Competitive * Location: New York < NY < USA * Job Type: Permanent, Full time *... more

Apr 10Cold CallerSelect Family of Staffing CompaniesTinton Falls, NJ

Falls, NJ During the training program, the Stockbroker trainee will utilize a call list ... flexibility involved in each call. The Stockbroker trainee will utilize an online... more

Apr 09SC Email & Chat Financial Service RepresentativeScottradeSt Louis, MO

SC Email & Chat Financial Service Representative - St. Louis, MO Job ID: 20141303-8749 Description:The main purpose of this position is to provide product and platform support to... 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 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 09Regulatory Coordinator - Member Regulation, Sales Practice - San Francisco, CA(Job Number: 003301) (00769521)FinraSan Francisco, CA

* Back to Search Results * Next * Previous Regulatory Coordinator - Member Regulation, Sales Practice - San Francisco, CA(Job Number: 003301) * Salary: Competitive * Location:... more

Apr 09Regulatory Coordinator - Member Regulation, Sales Practice - Chicago, IL(Job Number: 003319) (00769526)FinraChicago, IL

* Back to Search Results * Next * Previous Regulatory Coordinator - Member Regulation, Sales Practice - Chicago, IL(Job Number: 003319) * Salary: Competitive * Location:... 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 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 04Senior Counsel (Regulatory/Capital Markets), Office of General Counsel Washington, DC(Job Number: 003260) (00767485)FinraWashington

* Back to Search Results * Next * Previous Senior Counsel (Regulatory/Capital Markets), Office of General Counsel - Washington, DC(Job Number: 003260) * Salary: Competitive *... 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 01Facilities 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 15Deputy 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

Apr 15Business Analyst, Market RegulationFinraNew York, NY

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

Apr 15Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) 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

Apr 15Senior Security Engineer - Rockville, MD - Contractor ConversionFinraRockville, MD

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

Apr 14Stockbrokers - 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 13Associate Principal Specialist, Credit RegulationFinancial 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 Associate Principal Specialist opening in New York, NY. To be considered for this... more

Apr 13Associate Principal Specialist, CreditRegultionFinraNew York, NY

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

Apr 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

Apr 13Compliance Examiner - Member Regulation, Sales PracticeFinraSan Francisco, CA

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

Apr 11Enforcement Investigator, Case Development TeamFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Investigator opening with our Enforcement Case Development Team in Rockville, MD... more

Apr 11Customer Service Coordinator IV - Client Services/Test DevelopmentFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Customer Service Coordinator IV opening in Rockville, MD . To be considered for... more

Apr 11Associate Developer I - Rockville, MD - Contractor ConversionFinraRockville, MD

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

Apr 10Architect - TechnologyFinraRockville, MD

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

Apr 09Associate Operations Center Specialist II - Rockville, MD - Contractor ConversionFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Associate Operation Center Specialist II opening in Rockville, MD . To be... more

Apr 09Vice President & Deputy, Sales Practice - NY, NY or other FINRA office locationFinancial Industry Regulatory AuthorityNew York

Title: Vice President & Deputy, Sales Practice - NY, NY or other FINRA office locationLocation: nullOther Locations: nullWe Work to Protect Investors. Join our Team.FINRA is... more

Apr 09Stockbroker/ Investment advisorCaldwell International SecuritiesBrooklyn, NY

Seeking qualified Series 7 licensed candidates for a full time position. You will have the opportunity to work along side with and learn from seasoned veterans of the industry. more

Apr 09Associate - Leader In FINRALicensing Exam PreparationKnopman Financial TrainingNew York, NY

This internship is paid - 6 pmmThis is a unique opportunity to be involved in decisions that shape the operations of a business on a daily basisWe are looking for a summer intern... 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 07Stockbroker TraineeCommerce One FinancialUniondale, NY

Job Description: What distinguishes highly successful people is their ability to capitalize on the right opportunity when it presents itself. The Financial Industry is growing and... 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

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