An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

September 9, 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.  
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Sep 06Financial AdvisorAXA AdvisorsOklahoma City, OK

Entry Level or Experienced Description AXA Advisors is a leader in helping ... 5,000 financial professionals. AXA Advisors is an equal opportunity employer... more

Sep 05Financial Advisor - AXAAdvisorsAXA AdvisorsSacramento, CA

BECOME A FINANCIAL PROFESSIONAL WITH AXA ADVISORS, LLC WHY AXA ADVISORS?AXA Advisors ... AXA Advisors, LLC is a subsidiary of AXA Financial, Inc. whose other subsidiaries... more

Sep 05Sales Representative Financial PlanningAXA AdvisorsYonkers, NY

We're looking for highly motivated, achievement-driven individuals who want the opportunity to establish and grow a financial services practice with the support and strength of... more

Sep 05Financial Advisor- Entry Level or ExperiencedSt Louis, MO

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

Sep 04Recruiting InternshipAXA AdvisorsNew York City, NY

You want to be part of a dynamic and growing team Requirements:- You are currently working towards a bachelor s degree and are preferably a freshman Apply today to be considered... more

Sep 04Financial Consultant ENTRY LEVEL US RESIDENTS ONLY NYCAXA AdvisorsNew York City, NY

BECOME A FINANCIAL PROFESSIONAL WITH AXA ADVISORS & AXA FINANCIAL, LLC **PLEASE ... 5,000 financial professionals. AXA Advisors is an equal opportunity employer... more

Sep 04Financial Sales ManagerAXA AdvisorsWoodbury, NY

Company Description: About AXA AXA Advisors, LLC is a leading provider of financial ... Visit us online at: http://www.longisland.axa-advisors.com. AXA Advisors, LLC, Member... more

Sep 03Marketing ConsultantAXA AdvisorsBellevue, WA

I'm looking for a marketing person to help me with marketing and networking my financial advisory business to attract and retain clients. 20 hours a week to start and starting pay...more

Sep 03Financial Sales Professionals- Entry LevelAXA AdvisorsWellesley, MA

talented professionals to grow with us!AXA Advisors RBG financial professionals are ... today and build your career with AXA Advisors Retirement Benefits Group. AXAAdvisors,... more

Sep 03Financial Advisor - Entry Level or ExperiencedAXA AdvisorsRaleigh, NC

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

Sep 01Financial AdvisorNet Worth Management GroupMorristown, NJ

PR as AXA Network of Puerto Rico, Inc. AXA Advisors, AXA Network, and Net Worth ... advisor and is not owned or operated by AXA Advisors or AXA Network. AGE-87174...more

Sep 01Financial Sales Professionals- Entry Level or ExperiencedAXA AdvisorsPoughkeepsie, NY

- enhance their financial futures. AXA Advisors is seeking motivated and ... at: www.axa.com] or www.albany.axa-advisors.com AXA Advisors, LLC is an Equal... more

Sep 08Chief of Staff - Executive Director JPMorgan ChaseInstituteJPMorgan Chase &Washington, DC

The new JPMorgan Chase Institute will be a thought-leading initiative backed by the ... and CEO include: Helping to set the JPMorgan Chase Institute's overall strategy... more

Sep 08Technology Auditor - ChaseWealth ManagementJPMorgan Chase &New York City, NY

The JPMorgan Chase Audit Department is accountable to the Audit and Examining Committee of ... approximately 20% may be required JPMorgan Chase is an equal opportunity and affirmative... more

Sep 08Chase Wealth Management - Financial Advisor Associate - Bronx, NY (Castle Hill)JPMorgan Chase &Bronx, NY

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

Sep 08Chase Private Client Service AssociateJPMorgan Chase &Mineola, NY

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. ... Within Chase, Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase... more

Sep 06Chase Wealth Management - International Financial Services - Financial Consultant (LICENSES & SECOND LANGUAGE FLUENCY REQUIRED Spanish, Portuguese and/or Mandarin/Cantonese)JPMorgan Chase &New York City, NY

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. ... Within Chase, Chase Wealth Management encompasses our Chase Private Client (CPC), Chase In... more

Sep 06Supervisory Manager -Chase Wealth ManagementJPMorgan Chase &New York City, NY

Learn more about Chase Private Client at www.chase.com/privateclient ChaseInvestments off ... Learn more about Chase Investments at www.chase.com/investments \"Chase Private Client\" i... more

Sep 06Chase Private Client Investment Associate - New York, NY (Third Ave and 79th St)JPMorgan Chase &New York City, NY

Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. ... Within Chase, Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase... more

Sep 05JPMorgan Securities | Branch Trainer |JPMorgan ChaseBoston, MA

About J.P. Morgan: JPMorgan Chase & Co. (NYSE:JPM) is a leading financial services firm with assets of over %242 trillion and operations in more than 60 countries. J.P. Morgan is... more

Sep 04JPMorgan Chase Dedicated LoanSphere Technical AdvocateLpsJacksonville, FL

Job Summary: Dedicated JPMC resource responsible for understanding JPMC across all product lines as it relates to LoanSphere applications. Owns issue resolution for JPMC and...more

Sep 04JPMorgan Securities | Marketing Assistant |JPMorgan ChaseAtlanta, GA

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

Sep 05Financial Solutions AdvisorUSAAPhoenix, AZ

Advisor for our Phoenix, AZ location. As a Financial Advisor for USAA, you will ... recommendations. Recommends relevant financial product and services. Motivates... more

Sep 04BRANCH FINANCIALADVISOR (194127)PNCBloomfield, 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

Sep 04BRANCH FINANCIALADVISOR (194128)PNCTroy, 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

Sep 04Branch Financial Advisor(192956)PNCDuluth, GA

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

Sep 04BRANCH FINANCIALADVISOR (194048)PNCPort Orange, FL

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

Sep 04BRANCH FINANCIALADVISOR (194016)PNCDurham, NC

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

Sep 04Financial Advisor Enroller - Peninsula AreaAIGSan Mateo, CA

retirement. Whether you're an experienced Financial Advisor or new to the business, you ... This position reports to a Financial Advisor and District Manager that will... more

Sep 03Merrill Lynch FinancialAdvisor Program (Business Developer) - HinghamBank of AmericaHyannis, MA

will be compensated in accordance with the Financial Advisor Incentive Compensation ... follow their passion of becoming a Financial Advisor. Qualifications Candidate... more

Sep 03Entry Level FinancialAdvisor / Sales ConsultantUniversity RecruitersRockville, MD

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

Sep 03Merrill Lynch FinancialAdvisor Program- Cool SpringsBank of AmericaFranklin, TN

a full-fledged Merrill Lynch Financial Advisor (FA). PMD is a structured and ... will be compensated in accordance with the Financial Advisor Incentive Compensation... more

Sep 02Merrill Lynch FinancialAdvisor Program - RaleighBank of AmericaDurham, NC

a full-fledged Merrill Lynch Financial Advisor (FA). PMD is a structured and ... will be compensated in accordance with the Financial Advisor Incentive Compensation... more

Sep 02Merrill Lynch FinancialAdvisor Program - Raleigh/DurhamBank of AmericaRaleigh, NC

a full-fledged Merrill Lynch Financial Advisor (FA). PMD is a structured and ... will be compensated in accordance with the Financial Advisor Incentive Compensation... more

Sep 01Mortgage Financial Advisor/ Production MgrPulte HomesLouisville, KY

MORTGAGE FINANCIAL ADVISOR / PRODUCTION MGR JOB SUMMARY: Primarily responsible for ... financial services to Pulte customers and to provide support to Pulte's core... more

Sep 05Staff Security Engineer - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, 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

Sep 05Attorney, Sales Practice PolicyFinancial Industry Regulatory Authority (finra)New York City, NY

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

Sep 05Examination Manager, Member Regulation Sales PracticeFinancial Industry Regulatory Authority (finra)New Orleans, LA

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

Sep 05Investigator II, Corporate Financing - Rockville, MD (Job number 3491)FinraRockville, MD

This is intermediate-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision. more

Sep 05Examination Manager - Sales Practice, Member 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 Examination Manager opening in New York, NY. To be considered for this position,...more

Sep 04Stockbroker/Financial AdvisorForte Capital GroupNew York City, NY

Company Description: Forte Capital is a full service, independent, brokerage firm located in the heart of the Financial District. We are small enough to give clients the... more

Sep 03Bilingual StockbrokerTrainee (Chinese / Mandarin)ScottradeSt Louis, MO

Bilingual Stockbroker Trainee (Chinese / Mandarin) - St. Louis, MO Job ID: 20143107-9436 Description: Scottrade is seeking an energetic, career-minded professional to join our...more

Sep 03Service Center StockbrokerScottradeWestminster, CO

Service Center Stockbroker - Westminster, CO Job ID: 20141507-9337 Description: Scottrade is seeking an energetic, career-minded professional to join our award-winning financial... more

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