EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 4, 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!  

Nov 03Associate Financial ServiceRepresentativeE*TRADE FinancialSandy, UT

SUMMARY_****: As an **Associate** **Financial Services Representative,**this ... and goals. * An Associate Financial Services Representative will perform... more

Nov 03Financial ServicesRepresentative - Fashion SquareTD BankOrlando, FL

communication skills * Customer Services Representative experience helpful * ... Equal Opportunity Employer *Financial Services Representative - Fashion Square/Orlando* *O... more

Nov 03Financial ServicesRepresentativeTD BankHaledon, NJ

communication skills * Customer Services Representative experience helpful * ... with Disabilities. *Financial Services Representative*... more

Nov 03Service Center FinancialService RepresentativeScottradeSaint Louis, MO

Service Center Financial Service Representative - St. Louis, MO Job ID: 20140710-9832 ... experience preferred. * 1+ years financial services industry and customer service...more

Nov 03Financial ServicesRepresentative (Trooper)TD BankNorristown, PA

communication skills * Customer Services Representative experience helpful * ... Opportunity Employer *Financial Services Representative (Trooper)*... more

Nov 03Financial ServicesRepresentative ITD BankHerndon, VA

visit www.td.com. **Job Description** The Financial Services Representative (FSR) acts ... with Disabilities. *Financial Services Representative I*... more

Oct 31Financial ServicesRepresentative - Miami-BrickellTD BankMiami, FL

communication skills * Customer Services Representative experience helpful * ... with Disabilities. *Financial Services Representative -... more

Oct 31Financial ServicesRepresentative - Royal Palm BeachTD BankWest Palm Beach, FL

communication skills * Customer Services Representative experience helpful * ... with Disabilities. *Financial Services Representative - Royal... more

Oct 30Caldwell, ID-FinancialServices RepresentativeEzmoneyCaldwell, ID

Customer Service Representatives/Financial Services Specialists. We Offer: Competitive wages Bonus potential 401K with matching Company contribution Closed on Sunday No long... more

Oct 30Financial ServiceRepresentative and Insurance SpecialistAmerican National (the Pitchford Firm)San Antonio, TX

bring on quality. Qualifications: ~~~~As a financial services sales - insurance agent, ... Specific qualifications for the financial services sales - insurance agent position... more

Oct 30Financial ServicesRepresentative and Insurance SpecialistAmerican National (the Pitchford Firm)San Marcos, TX

part of there community providing financial services and insurance to small business ... clients. Specific qualifications for the financial services sales - insurance agent... more

Oct 30Financial ServicesRepresentativeMass MutualFinancial GroupNewport Beach, CA

Financial Group is a global, diversified financial services organization whose ... FinancialServices Representatives. Financial Services Representatives are independent... more

Oct 29Financial ServicesRepresentative and Insurance ProfessionalAmerican National (the Pitchford Firm)Austin, TX

bring on quality. Qualifications: ~~~~As a financial services sales - insurance agent, ... Specific qualifications for the financial services sales - insurance agent position... more

Oct 29Aurora, CO-FinancialServices RepresentativeEzmoneyAurora, CO

Customer Service Representatives/Financial Services Specialists. We Offer: Competitive wages Bonus potential 401K with matching Company contribution Closed on Sunday No long... more

Oct 28Service Center FinancialService RepresentativeTraineeScottradeWestminster, CO

Service Center Financial Service Representative Trainee - Westminster, CO Job ID: ... preferred. * 1+ years financial services industry experience required. * 1+ years... more

Oct 27Financial ServicesRepresentative- $60,000 - $100,000 PotentialNew York Life Insurance CompanyMelville, NY

Valuable exposure to the exciting financial services industry A stimulating ... andFinancial Services Professional A licensed financial services professional is... more

Oct 27Financial ServiceRepresentative - Earn $60,000- $100,000 PotentialNew York Life Insurance CompanyMelville, NY

Valuable exposure to the exciting financial services industry A stimulating ... andFinancial Services Professional A licensed financial services professional is... more

Oct 26American Fork, UT-FinancialServices Rep EZ LoanServicesEzmoneyAmerican Fork, UT

Customer Service Representatives/Financial Services Specialists. We Offer: Competitive wages Bonus potential 401K with matching Company contribution Closed on Sunday No long... more

Oct 25Pierre, SD FinancialServices RepresentativeEzmoneyPierre, SD

Customer Service Representatives/Financial Services Specialists. We Offer: Competitive wages Bonus potential 401K with matching Company contribution Closed on Sunday No long... more

Oct 25Financial ServicesRepresentative - Float JobFirst Citizens BankRaleigh, NC

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

Nov 03Chase Private Client - Private Client Advisor - Dallas, TX (Dallas Main)JPMorgan ChaseDallas, TX

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

Nov 03JPMorgan Securities | Client Associate, 7 & 66 |JPMorgan ChaseAtlanta, GA

user of Word, PowerPoint and Excel JPMorgan Chase offers an exceptional benefits ... competitive compensation package. JPMorgan Chase is an Equal Opportunity and... more

Nov 03Financial Advisor - ChaseWealth Management - Highland Park/Downtown Dallas/Garland AreaJPMorgan ChaseDallas, TX

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

Nov 03Anticipated Private Client Advisor - Chase Wealth Management - St. CharlesJPMorgan ChaseSaint Charles, IL

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

Oct 28Asset Management -JPMorgan Private Bank - Supervisory Manager - VPJPMorgan ChaseChicago, IL

MANAGEMENT* **Title:** *Asset Management - JPMorgan Private Bank - Supervisory Manager - ... - Chicago, IL* **Location:** *IL-Chicago-Chase Tower Chicago / 10468* **Requisition... more

Oct 21JPMorgan Securities | Client Associate |JPMorgan ChaseSan Francisco, CA

of Word, PowerPoint and Excel JPMorgan Chase is an Equal Opportunity and Affirmative ... *ASSET MANAGEMENT* **Title:** *JPMorgan Securities | Client Associate | San... more

Nov 04Assistant General Counsel - Business Retirement Group of JPMorgan Asset ManagementJPMorgan ChaseNew York City, NY

JPMorgan Chase is seeking an attorney to support the Business Retirement Group and other business areas within the JPMorgan Asset Management business The Business Retirement Group... more

Nov 04Chase Private Client - Private Client Advisor- La Salle St.JPMorgan ChaseChicago, IL

help shape what s next for you and for us JPMorgan Chase offers an exceptional benefits ... competitive compensation package JPMorgan Chase is an Equal Opportunity and Affirmative... more

Nov 03Chase Private Client - Private Client Advisor - Campbell, CA (Pruneyard)JPMorgan ChaseCampbell, CA

As a Chase employee you will be part of a company that makes a real difference every day ... help shape what is next for you and for us Chase Private Client Investment Advisor As a... more

Oct 31Forensics Specialist - ChaseDigitalJPMorgan ChaseNew York City, NY

employees serve our customers by following Chase's Five Keys to A Great Customer ... analysis to support recommendations JPMorgan Chase is an Equal Opportunity and Affirmative... more

Nov 01Financial AdvisorThrivent FinancialFaribault, MN

Company Description: Thrivent Financial is a financial services organization that helps ... of your ongoing guidance. What Thrivent Financial Offers At Thrivent Financial, we'll...more

Oct 30Financial RepresentativeThrivent FinancialRaleigh, NC

professional and financial rewards Thrivent Financial has to offer. Apply by ... Ratings reflect Thrivent Financial's overall financial strength and claims-paying... more

Oct 29Intern - Operations AnalystThrivent FinancialWisconsin

Thrivent Financial is a not-for-profit, Fortune 500 financial services membership ... values-based organization, Thrivent Financial creates and supports national... more

Nov 04Director Market Risk AnalyticsAmerican International Group (aig)New York City, NY

AIG Investments has an opening for a senior individual within its Market Credit Risk ... to support the measurement and monitoring of AIG s market risk exposures globally The...more

Nov 04Director Market Risk, Investments ERMAmerican International Group (aig)New York City, NY

implementing a market risk framework across AIG globally This covers assets liabilities ... and insurance related and derivatives AIG is launching broad initiative to measure... more

Nov 04Head of Insurance Services Advisor GroupAIG Life and RetirementPhoenix, AZ

developing a sales strategy that leverages AIG s Enterprise General Agency EGA direct ... Executive Vice President National Sales for AIG Advisor Group and will oversee the... more

Nov 03Home Office Senior Data AnalystAIG Financial AdvisorsAtlanta, GA

from inside and outside AIG •Develop and track pricing actuarial analytics (indications, ... at www.aig.com | YouTube: www.youtube.com/aig | Twitter: @AIGInsurance| LinkedIn:...more

Nov 03Training SpecialistAIG Financial AdvisorsNorth Carolina

yourself building a successful career at AIG United Guaranty working alongside other ... and has been a company of American International Group, Inc. (AIG) since 1981. Back to... more

Nov 03Data Visualization Business Analyst/ Technical PMAIGJersey City, NJ

AIG can be found at www.aig.com httpwww.aig.com YouTube www.youtube.comaig ... httpwww.linkedin.comcompanyaig About AIG American International Group, Inc. (AIG)...more

Nov 01Mgr. Federal Regulatory Reporting - WiltonAIGStamford, CT

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig |...more

Nov 01Financial Advisor Enrollerment Specialist: NorthwestAIGGary, IN

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig |...more

Nov 01Financial Advisor - DaytonAIGCleveland, OH

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig |...more

Nov 01Financial Advisor - LivoniaAIGDetroit, MI

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig |...more

Nov 01Financial AdvisorAIGChicago, IL

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig |...more

Nov 01Financial RepresentativeAIG Financial NetworkNashville, TN

AIG American International Group, Inc. (AIG) is a leading international insurance ... information about AIG can be found at www.aig.com | YouTube : www.youtube.com/aig |...more

Nov 04Wealth Management Client Relationship Consultant (NYC)Tiaa-crefNew York

For more information about TIAA-CREF, visit our website. The Wealth Management Client ... along with a demonstrated proficiency with TIAA-CREF products and services Equal...more

Nov 04WM Outreach ConsultantTiaa-crefLewisville, TX

He/she proactively contacts unengaged TIAA-CREF clients, referrals and marketing leads to ... The IASOC will reach out to existing TIAA-CREF clients to introduce TIAA-CREF's...more

Nov 04Technical LeadTiaa-crefIselin, NJ

Job Description: TIAA-CREF is currently seeking a Manager, Technical Lead to provide leadership in the end to end design, development and delivery of technology-enabled... more

Nov 04Senior Analyst, Digital AnalyticsTiaa-crefBoston, MA

For more information about TIAA-CREF, visit our website. This position can be located in New York, Charlotte, Boston, Denver or a remote location. Position Summary: The Digital...more

Nov 04Wealth Management Client Relationship ConsultantTiaa-crefBaltimore, MD

For more information about TIAA-CREF, visit our website. The Wealth Management Client ... along with a demonstrated proficiency with TIAA-CREF products and services Equal...more

Nov 04Sr Financial Consultant - Rochester New York - FCGTiaa-crefRochester, NY

retention and growth. Accountable for making TIAA-CREF the primary relationship (first ... concepts; including a broad knowledge of TIAA-CREF products. Proven written, verbal and...more

Nov 04Systems Analyst - Fixed Income TechnologyTiaa-crefNew York

The Company For more information about TIAA-CREF, visit our website. Job Role Excels at analyzing functional needs that drive the analysis and design of quality solutions;... more

Nov 03Financial ConsultantTiaa-crefCharlottesville, VA

and growth. * Accountable for making TIAA-CREF the primary relationship (first ... concepts; including a broad knowledge of TIAA-CREF products. * Proven written, verbal...more

Nov 03Associate, Real Estate Risk ManagementTiaa-crefBoston, MA

For more information about TIAA-CREF, visit our website. This position can be located in New York, Charlotte, Boston or Denver. Position Summary: Responsible for risk exposure...more

Nov 02Retirement Financial PlannerTiaa-crefDenver, CO

For more information about TIAA-CREF,visit our website. Enter Description Here Enter Qualifications Here Equal Employment Opportunity is not just the law, it's our commitment.more

Oct 24Training Manager, Regulatory Training - Rockville, MD orFinancial 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 Training Manager, Regulatory... more

Oct 24Training Manager, eLearning - Rockville, MD orFinancial 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 Training Manager, eLearning opening...more

Oct 20Director-Shared Services Engineering & Operations,Technology, 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 Director, Shared Services... more

Oct 20Director-Technology Development, 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 Director Technology Development...more

Oct 17Research Analyst III, Regulatory ProgramsFinancial 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 Research Analyst opening in... more

Oct 17Regulatory Analyst - OFDMI/ Office of Whistleblower - 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 Regulatory Analyst opening in... more

Oct 16Associate Developer in Test - Technology - 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 Associate Developer in Test opening...more

Nov 03Regulatory Coordinator - Member Regulation, Sales Practice - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, 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

Nov 01Director, Product Management - Technology - Rockville, MD - Contractor ConversionFinancial Industry Regulatory Authority (finra)Boca Raton, FL

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Director, Product Management... more

Nov 01Associate Tester I - Technology - Rockville, MD - Contractor ConversionFinancial Industry Regulatory Authority (finra)Washington, DC

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

Nov 01Senior StockbrokerArjentNew York City, NY

Company Description: Arjent a leading boutique Investment firm based In Manhattan, New York offering a full service brokerage to Institutions and HNW Private Clients has an... more

Nov 01Associate Developer II - Technology - New York, NY - Contractor ConversionFinancial 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 Developer II opening in New York, NY. To be considered for this... more

Nov 01Associate Developer I - Rockville, MD- Contractor CoversionFinancial 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 Developer I opening in Rockville, MD. To be considered for this... more

Oct 30Software 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 Software Security Engineer opening in Rockville, MD. To be considered for... more

Oct 29Surveillance Director, Member Regulation Sales Practice - Denver, ColoradoFinancial 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 Surveillance Director opening in... more

Oct 27Stockbroker TraineesNational SecuritiesMelville, NY

Company Description: Established 1947, National Securities is a full service, high energy independent brokerage firm with over 75 offices. We offer a comprehensive range of... more

Oct 26Attorney, 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 Attorney opening in Washington, DC.more

Oct 25Compliance Analyst, Office of General 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 Compliance Analyst opening with our...more

Oct 25Risk Specialist, Operational Risk - Washington, DC orFinancial 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 Risk Specialist, Operational Risk... more

Oct 25Examination Manager - Member Regulation, Sales Practice - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Examination Manager opening in our Chicago, IL, location. To be considered for... more

Oct 25Enforcement Counsel - 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 Counsel opening in... more

Oct 25Senior Risk Specialist, Operational Risk - Washington, DC orFinancial 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 Senior Risk Specialist, Operational...more

Oct 25Associate Director, Operational Risk - Washington, DC orFinancial 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 Associate Director, Operational... more

Oct 24Curriculum Program Manager, Catalog - Rockville, MD orFinancial 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 Curriculum Program Manager, Catalog...more

Oct 24Curriculum Program Manager, Risk & Surveillance - Rockville, MD orFinancial 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 Curriculum Program Manager, Risk &...more