EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 24, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs

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 $50 for 30 days!  
Jun 23Enforcement Investigator - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Enforcement Investigator opening in... more

Jun 23Examination Director, Market Regulation, TFCEFinancial 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 Examination Director opening in New York, NY. To be considered for this position,... more

Jun 22Corporate Controller FINRAAppian StaffingTampa, FL

Compensation $70K to 75K• Daily management of the books including accounts payable and accounts receivable• Responsible for maintaining compliance with the FINRA standards, and... more

Jun 21Compliance Examiner - Member Regulation, Sales PracticeFinancial Industry Regulatory Authority (finra)Woodbridge, NJ

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

Jun 21Examiner - IT Financial Operations, Member Regulation, ROORFinancial 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 IT Financial Operations Examiner opening in New York, NY. To be considered for... more

Jun 20Lead Developer - Technology - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Jun 20Stockbrokers - New IndustryEverest Merchant ServicesNew York City, 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

Jun 20Stockbrokers/Broker TraineesNew York Brokerage FirmWestbury, NY

We are currently searching for hardworking and self motivated individuals to join our newly expanded office. The role of trainee will allow the individual to work directly with... more

Jun 20Regulatory Analyst- Member Trading, Market 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 Regulatory Analyst opening in New York, NY. To be considered for this position,... more

Jun 19Regulatory Analyst - Market Regulation, Customer Issues - 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 opening in Rockville, MD. To be considered for this position,... more

Jun 18Stockbroker TraineeNational SecuritiesMelville, 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

Jun 10Principal, SCRUM MasterFinra - Financial Industry Regulatory AuthorityRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Principal, SCRUM Masrer opening (003468) in Rockville, MD. To be considered for... more

Jun 04Senior StockbrokerArjentNew York City, NY

Sign-on Bonus up to $200K !!! ARJENT seeks experienced Stockbroker to join their already establishedteam in New York focusing on Equities, Bonds, Private Placements and RealEstate... more

Jun 23Sr Financial Advisor UbisUnion BankTacoma, WA

Union Bank, N.A., provides an array of financial services to individuals, small ... NYSE:MTU), one of the world's largest financial organizations. In July 2013, American... more

Jun 22BRANCH FINANCIALADVISOR - Sylvania, OH (187545)PNCSylvania, OH

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

Jun 21Entry Level Financial Advisor/ Sales ConsultantChrysalis CareersFrederick, MD

don't miss out! Apply now! Financial Advisor / Sales Consultantrequirements: ... Today! Sales Entry Level Consultant Financial Advisor Sales Consultant Advisor...more

Jun 20Financial Advisor - Entry Level or ExperiencedAXA AdvisorsRaleigh, NC

AXA Advisors, LLC, a respected leader in the financial services industry, has exciting ... professional choices. AXA Advisors' financial professionals are relationship... more

Jun 18Financial Advisor - Cedar Rapids, IowaAIGIndiana

Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare ... retirement. Whether you're an experienced Financial Advisor or new to the business, you... more

Jun 18Financial Advisor - St. LouisAIGBallwin, MO

Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare ... retirement. Whether you're an experienced Financial Advisor or new to the business, you... more

Jun 18BRANCH FINANCIALADVISOR (186432)PNCChesterfield, MI

affluent marketplace. As a Branch Financial Advisor, you immediately become an important ... As a Branch Financial Advisor, your challenge is to cultivate and growfinancial planning... more

Jun 18Financial Advisor - SpringfieldAIGJoplin, MO

Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare ... retirement. Whether you're an experienced Financial Advisor or new to the business, you... more

Jun 18Financial Advisor - AthensAIGAtlanta, GA

Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare ... retirement. Whether you're an experienced Financial Advisor or new to the business, you... more

Jun 18Financial Advisor - DallasAIGAddison, TX

Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare ... retirement. Whether you're an experienced Financial Advisor or new to the business, you... more

Jun 16Branch Financial Advisor(187235)PNCChicago, IL

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

Jun 16BRANCH FINANCIALADVISOR - Franklin / Oil City, PA (187301)PNCOil City, PA

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

Jun 16BRANCH FINANCIALADVISOR - Youngstown, OH (187303)PNCYoungstown, OH

in the affluent marketplace. As a Financial Advisor, you immediately become an important ... As a Financial Advisor, your challenge is to cultivate and grow financialplanning relatio... more

Jun 13Financial Advisor Ubis - Cerritos CenterUnion BankArtesia, CA

include: Profiles clients by obtaining financial information and suitability ... Requires extensive financial analysis review of the client's financial statements and asse...more

Jun 24Financial Services Rep 1, Tenleytown, Full TimeTD BankWashington, DC

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... communication skills* Customer Services Representative experience helpful* Developing... more

Jun 23Insurance Representative -Financial Services SalesWestern and Southern LifePortsmouth, OH

& Southern Financial RepresentativeTitle: Financial Services SalesAbout the ... a comprehensive and top-notch line of financial products and services.• Serve as a...more

Jun 23Insurance Representative -Financial Services SalesWestern and Southern LifeFayetteville, NC

Financial Representative Title: Insurance Representative - Financial Services Sales ... IFS Financial Services, Inc.; Peppertree Partners LLC;1 Touchstone Advisors, Inc.;1... more

Jun 23Financial ServicesRepresentative I (Moorestown)TD BankMoorestown, NJ

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... req ID:* 59251BR*Job Title:* Financial Services Representative I... more

Jun 23Financial ServicesRepresentative I, 14th and F, Full TimeTD BankWashington, DC

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... Banking*Auto req ID:* 53820BR*Job Title:* Financial ServicesRepresentative I, 14th and... more

Jun 21Service Center FinancialService RepresentativeTraineeScottradeWestminster, CO

Service Center Financial Service Representative Trainee - Westminster, COJob ID: ... to become a licensed Financial Services Representative.Responsibilities:* Provide...more

Jun 21Financial ServicesRepresentative II (Glendale)Arizona State Credit UnionGlendale, AZ

opportunity for a full-time Financial Services Representative II at our Glendale ... and explains available financial services such as savings and checking accounts,...more

Jun 21Customer Financial ServicesRepresentative: Media JobBloombergNew York City, NY

Customer Financial Services Representative: Media**Job Requisition Number:** 41200United ... Company:**Bloomberg, the global business and financial information and news leader, gives... more

Jun 20PT Financial ServicesRepresentativeAndrews Federal Credit UnionSpringfield, VA

sales/service role within the financial services industry or other types of retail businesses. The candidate must be someone who is recognized as a high energy, flexible... more

Jun 20Financial ServicesRepresentative I - Riverplace/JacksonvillTD BankJacksonville, FL

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... ID:* 58650BR*Job Title:* Financial Services Representative I -... more

Jun 20Patient Financial ServicesRepresentative, Physician Practice - Primary Care, Full TimeBanner HealthFallon, NV

reimbursement. Explains and provides financial policies and available resources ... their families.Enters payments/charges for services rendered and performs daily...more

Jun 20Financial ServicesRepresentative - FinancialAdvisorMass MutualNewport Beach, CA

within the community? As a Financial Services Representative, you will work ...Financial Services Representatives.Financial Services Representatives are... more

Jun 19Patient Financial ServicesRepresentative - CBOSinai HospitalBaltimore, MD

Patient Financial Services Representative - CBORequisition Number: 30669Facility: A member ... workplace.Department: Patient Financial Services - 6020Schedule: Full-timeShift: Day... more

Jun 19Financial ServiceRepresentativeService Credit UnionSeabrook, NH

onclick=''return false;''>JobTitle: Financial Service Representative[ empOpId:256 ... addition to performing all account-related services in a fast paced in store branch...more

Jun 18Financial ServicesRepresentative, Highlands Ranch EastBank of the WestLittleton, CO

a European leader in global banking and financial services and one of the 6 strongest ... Working knowledge of Bank''s products andservices.**Administrative/Technical Skills***... more

Jun 18Financial ServicesRepresentativeBank of the WestSeattle, WA

a European leader in global banking and financial services and one of the 6 strongest ... Working knowledge of Bank''s products andservices.**Administrative/Technical Skills***... more

Jun 17Financial ServicesRepresentative III -Arizona State Credit UnionGlendale, AZ

processes investments and other financial services, and corrects records by performing ... information and explains available financial services such as savings and checking... more

Jun 17Financial ServicesRepresentative III - Prescott GurleyArizona State Credit UnionPrescott, AZ

processes investments and other financial services, and corrects records by performing ... information and explains available financial services such as savings and checking... more

Jun 16Sr. Financial ServicesRepresentative - Bilingual Mandarin/CantoneseE*TRADE FinancialAlpharetta, GA

operational understanding of the financial services industry proactively ... FinancialServices Representative - Bilingual Mandarin/Cantonese*Location:* Alpharetta, GA...more

Jun 16Customer Financial ServicesRepresentative- Consultant Position JobBloombergNew York City, NY

Customer Financial Services Representative- Consultant Position**Job Requisition Number:** ... seeking an enthusiastic Customer Financial Services Representativeto join the... more

Jun 15Financial ServicesRepresentative - LGBT CommunityMass MutualWarrenville, IL

Financial Services Representative, LGBT Community Locations: Chicago & Warrenville ... Tower Financial Partners is looking for Financial ServicesRepresentatives to work... more

Jun 13PATIENT FINANCIALSERVICESREPRESENTATIVE/COLLECTORAurora Behavioral Health SystemTempe, AZ

motivated Patient Financial Services Representative/Collector. The ideal candidate must be able to work independently and accomplish assigned tasks.RESPONSIBILITIESENSURES... more

Jun 12Greeley, CO-FinancialServices RepresentativeTexas EzmoneyGreeley, CO

Job Responsibilities: Processes loans and extensions while maintaining all loan underwriting and scanning requirements Provides superior customer serviceEffectively communicates... more

Jun 12Watertown, SD-FinancialServices RepresentativeTexas EzmoneyWatertown, SD

Job Responsibilities: Processes loans and extensions while maintaining all loan underwriting and scanning requirements Provides superior customer serviceEffectively communicates... more

Jun 12Loveland, CO-FinancialServices RepresentativeTexas EzmoneyLoveland, CO

Job Responsibilities: Processes loans and extensions while maintaining all loan underwriting and scanning requirements Provides superior customer serviceEffectively communicates... more

Jun 24Service Center FinancialService RepresentativeScottradeSt Louis, MO

Service Center Financial Service Representative - St. Louis, MOJob ID: ... customers regarding Scottrade accounts, services, product, fees, website and branch... more

Jun 23Financial ServicesRepresentative JobFirst Citizens BankClinton, NC

Financial Services RepresentativeUse your LinkedIn Profile to help you apply ... involvement. The Financial Services Representative I is responsible for... more

Jun 23Financial ServicesRepresentativeWorkplace GroupWilmington, NC

North Carolina is looking for Financial Services Representatives for an upcoming ... intense and team oriented environment. Each representative handles 100+ inbound and... more

Jun 23Financial ServicesRepresentativeE*TRADE FinancialAlpharetta, GA

your career.As a **Financial Services Representative,**this person will be ... OPPORTUNITY EMPLOYER*Job Title:* Financial ServicesRepresentative*Location:*... more

Jun 23Financial ServiceRepresentative I - DeptfordTD BankWoodbury, NJ

Excellent communication skills* Customer Services Representative experience helpful* ... ID:* 38819BR*Job Title:* Financial Service Representative I - Deptford*Location:*... more

Jun 23Financial ServicesRepresentativeTreloar & HeiselSan Francisco, CA

Inc., a Western PA based national financial services company, seeks aggressive, highly motivated, professional individual. The position requires extensive travel and eventual... more

Jun 23Financial ServicesRepresentative I, Constitution Square, Full TimeTD BankWashington, DC

Job DescriptionThe Financial Services Representative (FSR) acts as an Insurance licensed ... Banking*Auto req ID:* 55475BR*Job Title:* Financial ServicesRepresentative I,... more

Jun 23Financial ServicesRepresentative, Lake Grove (Portland Area)Bank of the WestLake Oswego, OR

leader in global banking and financial services and one of the 6 strongest banks in ... and expertise of financial services representative.**Position Accountabilities***... more

Jun 23Financial ServicesRepresentativeNew York Life Insurance CompanyFlorence, SC

array of financial products and services to help clients develop a sound, long ... asset management and retirement plan services.Other New York Life affiliates provide... more

Jun 22Bilingual Financial ServicesRepresentative IHudson Valley Federal Credit UnionMontgomery, NY

currently recruiting for a Bilingual Spanish Financial Services Representative I The ... Posting Title Bilingual Financial Services Representative I Location Address Montgomery... more

Jun 22Financial ServicesRepresentativeManpower GroupSaint Louis, MO

We have openings available as a Financial Services Representative in Normandy ... pay Criminal background required Title Financial Services Representative Job ID USA... more

Jun 21Financial ServicesRepresentative II/Teller Floater -Arizona State Credit UnionGilbert, AZ

opportunity for a full-time Financial Services Representative II/Teller Floater at ... and explains available financial services such as savings and checking accounts,...more

Jun 20Financial Services RepBilingual - Spanish/English - Madison, WI JobU.S. CellularMadison, WI

Financial Services Rep Bilingual - Spanish/English - Madison, WI-FIN000304 Responsible for ... customer inquiries and issues related to Financial Services or general service... more

Jun 20Financial ServicesRepresentativeAXANew York City, NY

address their financial goals through financial strategies, investment services and risk ... services to help clients meet their financial objectives. Provide information/education... more

Jun 20Bilingual Customer ServiceFinance RepColumbus, OH

Bilingual Customer Service Representative - FinanceColumbus, OH$14.50per hourAre you a ... finance industry? This globally renowned financial services firmis looking for... more

Jun 19Financial ServicesRepresentativeTailored ManagementDublin, OH

Information systems and insurance/financial services industry practices (i.e. annuities, mutual funds) preferred. Basic mathematics, familiarity with office filing systems and... more

Jun 17Financial ServicesRepresentativesState FarmKansas

from State Farm will be interviewing Financial ServicesRepresentatives from 10:00 ... from State Farm will beinterviewing Financial Services Representatives from 10:00...more

Jun 17Part Time Financial ServiceRepresentative University CenterUniversity Federal Credit Union (ufcu)Austin, TX

to multi-task while performing detailed financial transactions.* Initiative to learn ... sales skills. Must be able to sell financial products and services.* May be... more

Jun 17Financial ServiceRepresentative BrodieUniversity Federal Credit Union (ufcu)Austin, TX

to multi-task while performing detailed financial transactions.* Initiative to learn ... sales skills. Must be able to sell financial products and services.* May be... more

Jun 16In-Store Financial ServicesRepresentative 1, 2 or 3- Apex KrogerSunTrust BanksApex, NC

In-Store Financial Services Representative 1, 2 or 3- Apex Kroger-263790 Description Our ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jun 14Financial ServiceRepresentativeFirst Community Credit UnionKlamath Falls, OR

available position for a Financial Service Representative in Klamath Falls, Oregon. ... TheJobNetwork - Herald and News. Category: Financial Services and Banking, Keywords:... more

Jun 14Financial ServicesRepresentativeIndependent FinancialPartnersWarwick, RI

Financial Services Representative Opportunities are currently available for individuals ... services. For over 100 years, Independence Financial Partners, a John Hancock Financial... more

Jun 12Tooele, UT-FinancialServices RepresentativeTexas EzmoneyTooele, UT

Job Responsibilities: Processes loans and extensions while maintaining all loan underwriting and scanning requirements Provides superior customer serviceEffectively communicates... more

Jun 12Patient Financial ServicesRepresentative - CBONorthwest HospitalRandallstown, MD

Patient Financial Services Representative - CBO Proactively and agressively resolves assigned accounts receivables. Meets individual quality and quantity performance goals and... more

Jun 12In-Store Financial ServicesRepresentative 1, 2 or 3-Kent Towne SafewaySunTrust BanksChester, MD

In-Store Financial Services Representative 1, 2 or 3-Kent Towne Safeway-263713 Description ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jun 24Service Center FinancialService RepresentativeScottradeSt Louis, MO

Service Center Financial Service Representative - St. Louis, MOJob ID: ... customers regarding Scottrade accounts, services, product, fees, website and branch... more

Jun 22Bilingual Financial ServicesRepresentative IHudson Valley Federal Credit UnionMontgomery, NY

currently recruiting for a Bilingual Spanish Financial Services Representative I The ... Posting Title Bilingual Financial Services Representative I Location Address Montgomery... more

Jun 21Service Center FinancialService RepresentativeTraineeScottradeWestminster, CO

Service Center Financial Service Representative Trainee - Westminster, COJob ID: ... to become a licensed Financial Services Representative.Responsibilities:* Provide...more

Jun 21Associate Financial ServiceRepresentativeE*TRADE FinancialAlpharetta, GA

an **Associate** **Financial Services Representative,**this person will be ... and goals.* An Associate Financial Services Representative will perform... more

Jun 20Bilingual Customer ServiceRepresentativeTitlemaxMemphis, TN

and Affiliates Bilingual Customer Service Representative Earn up to $25K! Memphis, ... service oriented position; retail or financial industries preferred Sales-oriented...more

Jun 20Financial ServicesRepresentativeAXANew York City, NY

address their financial goals through financial strategies, investment services and risk ... services to help clients meet their financial objectives. Provide information/education... more

Jun 19Insurance and FinancialServices SalesRepresentativeState Farm InsuranceFort Mitchell, KY

Insurance and Financial Services Sales RepresentativeState Farm Agent Team Member (Base ... customers manage their insurance and financial needs and better understand the logistics... more

Jun 19Financial ServicesRepresentativeState Farm InsuranceFort Mitchell, KY

Financial Services RepresentativeState Farm Agent Team Member (Base Salary + ... customers manage their insurance and financial needs and better understand the logistics... more

Jun 18Financial Services Rep - Juno BeachTD BankNorth Palm Beach, FL

Customer Service Representative - Financial Service Representative In-Training ... req ID:* 52396BR*Job Title:* Financial Services Rep - Juno... more

Jun 18Financial ServicesRepresentativeBank of the WestSeattle, WA

a European leader in global banking and financial services and one of the 6 strongest ... Working knowledge of Bank''s products andservices.**Administrative/Technical Skills***... more

Jun 18Financial ServicesRepresentativeTD BankApollo Beach, FL

Customer Service Representative - Financial Service Representative In-Training ... req ID:* 52031BR*Job Title:* Financial Services Representative - Apollo... more

Jun 18Financial ServicesRepresentative, Highlands Ranch EastBank of the WestLittleton, CO

a European leader in global banking and financial services and one of the 6 strongest ... Working knowledge of Bank''s products andservices.**Administrative/Technical Skills***... more

Jun 17Licensed Customer ServiceRepresentitive - FinancialServicesWillis ConsultingSan Mateo, CA

Licensed Customer Service Representitive - Financial Services - RegisteredRepresentative ... Client Relationship Manager - Financial Services - RegisteredRepresentative - Series... more

Jun 17Customer Sales and ServiceRepresentative-Auto-Property-CasultyUSAASan Antonio, TX

Join our mission. As a Fortune 200 financial services organization, USAA is on a mission - ... worldwide by providing a full range of financial services and products.more

Jun 16In-Store Financial ServicesRepresentative 1, 2 or 3- Apex KrogerSunTrust BanksApex, NC

In-Store Financial Services Representative 1, 2 or 3- Apex Kroger-263790 Description Our ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jun 16Financial ServicesRepresentative - CountrysideTD BankClearwater, FL

Customer Service Representative - Financial Service Representative In-Training ... req ID:* 50964BR*Job Title:* Financial Services Representative -... more

Jun 16Financial ServicesRepresentativeFireseedsBirmingham, AL

Industry: Financial Services/ Wealth ManagementGrowth: Revenue Increase Ten Fold Since 200 ... We are currently looking for two Financial Services/ Wealth Management Sales... more

Jun 15Quality ServiceRepresentativeBOK FinancialTulsa, OK

with the goal of becoming the premier financial services provider in each of our ...services provided by BOSC, Inc. and BOk Financial Corp. * Thorough knowledge of bonds and... more

Jun 13Specialized InvestmentServices Representative-UnlicensedUSAAAddison, TX

talented Specialized Investment Services Representative for our? Addison, TX facility. ... customer contact experience in Financial Services industry. High school diploma or... more

Jun 12In-Store Financial ServicesRepresentative 1, 2 or 3-Kent Towne SafewaySunTrust BanksChester, MD

In-Store Financial Services Representative 1, 2 or 3-Kent Towne Safeway-263713 Description ... or In-Store Financial Services Representative at SunTrust, or an equivalent... more

Jun 03Financial Services Manager-Entry Level Insurance/Finance/RecruiterModern Woodmen of AmericaWaukesha, WI

to help us build a team of successful Financial Services Representatives. Your ... to consider looking into a career as a financial services representative. Modern... more