EMPLOYMENT TUESDAY at BrokeAndBroker.com

August 19, 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.
  

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Aug 18Talent Advisor AIG Financial NetworkAIG Financial AdvisorsNashville, TN

AIG Financial Network, the Career Distribution division of AIG Life and Retirement, has re ... about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig| Twitter:... more

Aug 18Associate Technical TrainerAIG Global Claims TrainingAmerican International GroupOlathe, KS

more than 130 countries and jurisdictions. AIG companies serve commercial, ... information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig |... more

Aug 18Talent Acquisition Analyst -AIG Financial NetworkAIG Financial AdvisorsSan Diego, CA

AIG Financial Network, the Career Distribution division of AIG Life and Retirement, is in ... can be found at www.aig.com | YouTube: www.youtube.com/aig | Twitter: @AIG_LatestNews |... more

Aug 18Chase Wealth Management - Financial AdviDepartment of Workforce ServicesSalt Lake City, UT

Within Chase,Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Aug 17Chase Private Client Investment Associate - New York, NY (GM Building)JPMorgan ChaseNew York City, NY

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Aug 17Chase Private Client Investment Associate - Westport, CT (Westport Main St.)JPMorgan ChaseWestport, CT

Within ChaseChase Wealth Management encompasses our Chase Private Client (CPC) and Chase ... to a broad range of Chase customers through Chase Investment Advisors. As a Chase... more

Aug 17Chase Private Client Banker - United Nations Branch - NYCJPMorgan ChaseNew York City, NY

continued employment in this position with JPMorgan Chase is contingent upon compliance ... on your behalf, to NMLS by JPMorgan Chase. Please carefully review the... more

Aug 16JPMorgan Securities | Client Associate |JPMorgan ChaseBoston, MA

JPMorgan Securities | Client Associate | Boston-140083670 ## Job Description * Position ... user of Word, PowerPoint and Excel JPMorgan Chase is an Equal Opportunity and... more

Aug 15Chase Private Client Banker - Preston Center - DallasJPMorgan ChaseTexas

continued employment in this position with JPMorgan Chase is contingent upon compliance ... on your behalf, to NMLS by JPMorgan Chase. Please carefully review the... more

Aug 15JPMorgan Securities | Marketing Assistant |JPMorgan ChaseDallas, TX

sales role. * Bachelor's degree required. JPMorgan Chase offers an exceptional benefits ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V... more

Aug 14JPMorgan Executive Recruiter II - Commercial BankingJPMorgan ChaseBronx, NY

Agency environment highly desired JPMorgan Chase offers an exceptional benefits package ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V... more

Aug 14JPMorgan Securities | Client Associate | BostonJPMorgan ChaseFlorence, KY

, with a high degree of accuracy, in a high pressure environment. Highly proficient user of Word, PowerPoint and Excel JPMorgan Chase is an Equal Opportunity and Affirmative... more

Aug 13JPMorgan Securities | Marketing Assistant | DallasJPMorgan ChaseHillsboro, KY

role. Bachelor's degree required. JPMorgan Chase offers an exceptional benefits program ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V. more

Aug 06Chief of Staff - Executive Director - JPMorgan ChaseInstituteJPMorgan ChaseWashington, DC

## Job Description The new JPMorgan Chase Institute will be a thought-leading ... of total relevant experience JPMorgan Chase is an equal opportunity and affirmative...more

Aug 06JPMorgan Securities | Client Associate, 7 & 63 or 66 |JPMorgan ChaseNew York City, NY

user of Word, PowerPoint and Excel JPMorgan Chase offers an exceptional benefits ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/Disabilities/V... more

Aug 06JPMorgan Securities | Client Associate, 7 & 63 or 66 |ChaseNew York City, NY

user of Word, PowerPoint and Excel JPMorgan Chase offers an exceptional benefits ... JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/Disabilities/V... more

Aug 04Chief of Staff - Executive Director - JPMorgan ChaseInstitute - Washington, DCJPMorgan ChaseConrad, IA

and CEO include: Helping to set the JPMorgan Chase Institute's overall strategy ... of total relevant experience JPMorgan Chase is an equal opportunity and affirmative...more

Aug 14Head of Mutual Fund and Variable Annuities AdvisorGroupAmericanInternational GroupNew York City, NY

Maintains understanding of each Advisor Group broker dealer profile which includes their ... or Oakdale, MN American International Group, Inc. (AIG) is a leadinginternational... more

Aug 14Head of Insurance Services Advisor GroupAmericanInternational GroupNew York City, NY

AIG Advisor Group is responsible for driving American General sales growth by developing a ... MN American International Group, Inc. (AIG) is a leadinginternational insurance... more

Aug 14Head of Retirement Services Advisor GroupAmericanInternational GroupNew York City, NY

Maintains understanding of each Advisor Group broker dealer Retirement Plan profile which ... or Oakdale, MN American International Group, Inc. (AIG) is a leadinginternational... more

Aug 13Manager - Financial Planning & Reporting - GroupRetirementAmericanInternational GroupHouston, TX

investing and decision making for the Group Retirement business. * Develop a reliable ... quickly. American International Group, Inc. (AIG) is a leadinginternational... more

Aug 12Managing Director, Fixed Annuity & Group RetirementAmericanInternational GroupHouston, TX

risk management for the Fixed Annuity and Group Retirement business units, providing ... About Us American International Group, Inc. (AIG) is a leadinginternational insurance... more

Aug 07Associate Tax Director,International Tax ReportingAmericanInternational GroupNew York City, NY

tax reporting and compliance for AIG's international operations for an assigned BU / segme ... American International Group, Inc. (AIG) is a leading internationalinsurance... more

Aug 07International Tax Reporting and Compliance DirectorAmericanInternational GroupNew York City, NY

U.S. tax reporting and compliance for AIG's international operations, including ... skills. About Us American International Group, Inc. (AIG) is a leading international...more

Aug 07AVP Retirement Income Solutions Group, ProductAmericanInternational GroupMinnesota

International Group, Inc. (AIG) is a leading international insurance organization serving customers in more than 130 countries and jurisdictions. AIG companies serve commercial,... more

Aug 06Regulatory Control Lead - Benefit Solutions GroupAmericanInternational GroupNew Jersey

of people. American International Group, Inc. (AIG) is a leading internationalinsurance organization serving customers in more than 130 countries and jurisdictions. AIG companies... more

Aug 06Internal Wholesaler AdvisorGroupAmericanInternational GroupOakdale, MN

#LI-TS2 About Us American International Group, Inc ... international insurance organization serving customers in more than 130 countries and... mor

Aug 03Investors Need UsWe Need YouFor the last 38 years,DavidLong Island, NY

Night Tues., August 12th at 6:00pm David Lerner Associates 477 Jericho Turnpike, ... or email career

Aug 16Sales Representatve - Financial PlannerAXANew York City, NY

registrations or equivalent. About AXA AXA Advisors, LLC is a leading provider of ... consolidated subsidiaries. AXA Advisors and AXA Equitable are part of the AXAGroup, a... more

Aug 15Financial Advisor - Entry Level or ExperiencedAXA AdvisorsRaleigh, NC

and excellent professional choices. AXA Advisors' financial professionals are ... Apply now for immediate consideration. AXA Advisors, LLC (NY, NY 212-314-4600) member,... more

Aug 15Financial Sales ProfessionalsAXA AdvisorsHonolulu, HI

PROFESSIONAL WITH AXA ADVISORS, LLC WHY AXA ADVISORSAXA Advisors LLC, a provider of ... AXA Advisors, LLC is a subsidiary of AXA Financial, Inc. whose other subsidiaries... more

Aug 14Financial ProfessionalAXA AdvisorsLa Jolla, CA

AXA Advisors, LLC, a subsidiary of AXA Financial, Inc. is a leading provider of financial ... Along with AXA AdvisorsAXA Financial's operating companies include: AXADistributors, LL... more

Aug 11Financial Advisor- Entry Level or ExperiencedSalt Lake City, UT

5,000 financial professionals. AXA Advisors is an equal opportunity employer ... leading financial services firms.As an AXA Advisors financial professional, you'll...more

Aug 07Financial Service ProfessionalAXA AdvisorsSan Mateo, CA

AXA Advisors, LLC is committed to fostering and maintaining a diverse, multicultural and ... explore what a position with AXA Advisors can mean for you. We are committed... more

Aug 07Financial Advisor - Flexible Scheduling + Work/Life BalanceAXA AdvisorsSan Mateo, CA

AXA Group, "AXA Group" refers to AXA, a French holding company for a group of ... Inc. and AXA Financial's strong family of brands, including AXA Advisors, LLC, AXA...more

Aug 07Financial Advisor - Retirement Benefits SpecialistAXA AdvisorsSan Mateo, CA

professionals to grow with us! AXA Advisors' RBG financial professionals are ... deferred compensation (EDC) plans. AXA Advisors RBG financial professionals, experience... more

Aug 06Financial Advisor (Entry-Level)AXA AdvisorsSan Mateo, CA

5,000 financial professionals. AXA Advisors is an equal opportunity employer ... AXAAdvisors and AXA Equitable are part of the AXA Group, a worldwide leader in financial... more

Aug 04SERIES 7 FINANCIALADVISOR / MANAGEMENT -AXA AdvisorsSan Francisco, CA

to a satisfying professional future. AXA Advisors, a dynamic and growing financial ... skills into a rewarding business. AXA Advisors, LLC (NY, NY 212-314-4600), member... more

Aug 04DISTRICT MANAGER / VICE PRESIDENTAXA AdvisorsSan Francisco, CA

DISTRICT MANAGER AXA ADVISORS, a client-focused financial services leader, is seeking two ... Dan Worthington, CFP, CLU, ChFC AXA Advisors, LLC (NY, NY 212-314-4600), member... more

Aug 04SALES EXECUTIVEAXA AdvisorsSan Francisco, CA

FINANCIAL PROFESSIONAL Leading financial services company seeks two top-quality candidates to enter sales training program. Candidate must have a four-year college degree and... more

Aug 17Office AssociateThrivent Financial For LutheransSheboygan, WI

Thrivent Financial is currently in search of an Office Associate The Office Associate ... reports prepares correspondence and supports Financial Representatives The successful... more

Aug 13Regional Financial Sales Leader (Partner)Thrivent FinancialHouston, TX

Demonstrate mastery of the Thrivent Financial Advice Process (Connecting with ... Models, promotes and uses the Thrivent Financial Advice Process, SalesForce and...more

Aug 12Compliance/Legal Analyst - brightpeak financialThrivent FinancialMinneapolis, MN

This position is responsible for analyzing regulatory and compliance requirements and for the application of such requirements to bright peak business practices (including back... more

Aug 04Recruiting SpecialistThrivent FinancialRoseville, MN

serve the broader Christian community as a financial representative. Develop strong ... maintain a robust network of advocates for Thrivent career opportunities (associates,... more

Aug 17Enforcement Counsel - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, 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 position,... more

Aug 17Business Analyst, Transparency Services, New York, NY (Contracter Conversion)Financial Industry Regulatory Authority (finra)Riverdale, IL

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

Aug 16Vice President & Counsel, Oversight Liaison & CounselFinancial Industry Regulatory Authority (finra)Washington, DC

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Vice President & Counsel opening... more

Aug 16Senior Analyst, User Testing, Transparency Services, New York, NY (Contracter Conversion)Financial Industry Regulatory Authority (finra)San Francisco, CA

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

Aug 16Associate Gateway/Gateway Agent - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, 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

Aug 16Enforcement Investigator, Case Development Team - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, 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

Aug 16Financial Operations Examiner - Member Regulation, ROOR - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in Chicago, IL. To be considered for this... more

Aug 14Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) EquitiesFinancial 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

Aug 14Regulatory Coordinator - 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 Regulatory Coordinator opening in New York, NY. To be considered for this... more

Aug 13Business Analyst - OATS /Finra BackgroundC&A ResourcesNew York City, NY

A Senior Business Analyst position for an OATS project... meet with both the business and the technical team A hands-on person who can parse and interpret the data coming from the... more

Aug 12Stockbroker TraineesNational SecuritiesMelville, NY

We have a opening for a Stockbroker Trainees. Must be able to work various shifts per week and be available weekdays. Must have some experience.Must have a high school diploma or... more

Aug 12FINRA Legal Intern, OGC CPAGFinancial Industry Regulatory AuthorityWashington, DC

Title: FINRA Legal Intern, OGC CPAG - Washington, DC Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is dedicated to providing you an... more

Aug 11FINRA SpecialistScottradeSt Louis, MO

FINRA Specialist- St. Louis, MO Job ID: 20140408-9453 Description: Scottrade, Inc. has a FINRA Specialistposition available inSt. Louis, MO. The main purpose of this position is... more

Aug 07Bilingual StockbrokerTrainee (Chinese / Mandarin)ScottradeSt Louis, MO

Scottrade is seeking an energetic, career-minded professional to join our award-winning financial services company. This person needs to be a results-driven individual with an... more

Aug 06FINRA SpecialisScottradeSt Louis, MO

Scottrade, Inc. has a FINRA Specialist position available in St. Louis, MO . The main purpose of this position is to process associate data changes related to licensing and FINRA... more

Aug 05Stockbroker/Financial AdvisorForte Capital GroupNew York City, NY

We are currently seeking individuals interested in a career as a Stockbroker. All Stockbroker Trainees will receive hands-on training from experienced staff and eligible trainees... more

Aug 04Service Center StockbrokerScottradeColorado

Scottrade is seeking an energetic, career-minded professional to join our award-winning financial services company. This person needs to be a results-driven individual with an... more

Aug 03Senior StockbrokerArjentNew York City, NY

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