An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

November 11, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs

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Nov 11Financial ServicesRepresentative ITD BankBrooklyn, NY

com Job Description The Financial Services Representative FSR acts as an Insurance ... Veterans Individuals with Disabilities Financial Services Representative I Brooklyn...more

Nov 10FINANCIAL SERVICESREPRESENTATIVES/ ADVISORKey AdvisorsHarrisburg, PA

Job Description: FINANCIAL SERVICES REPRESENTATIVES/Advisor: Are responsible for selling f ... and fee based financial planning. Financial Services Representatives provide quality... more

Nov 10Financial ServicesRepresentativeTD BankMamaroneck, NY

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

Nov 10Financial ServicesRepresentative I- Marlton, NKTD BankMarlton, NJ

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

Nov 10Service 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

Nov 09Financial ServicesRepresentative IIIHudson Valley Federal Credit UnionPoughkeepsie, NY

first choice for a lifetime financial services partner. HVFCU is currently ... recruiting for aFinancial Services Representative III. The successful candidate... more

Nov 09Financial ServicesRepresentative-FinancialServices SalesWestern and Southern LifeDavenport, IA

Investment Advisors, Inc.1; IFS Financial Services, Inc.; Peppertree Partners LLC1; ... Touchstone Securities, Inc.2; W&S Brokerage Services, Inc.2; and W&S Financial Group...more

Nov 07Financial ServicesRepresentative I (30 hrs)TD BankPhiladelphia, PA

visit www.td.com. **Job Description** The Financial Services Representative (FSR) acts ... with Disabilities. *Financial Services Representative I (30 hrs)*... more

Nov 07Topeka, KS-FinancialServices RepresentativeEzmoneyTopeka, KS

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

Nov 07Lake Hallie, WI-FinancialServices RepresentativeEzmoneyLake Hallie, WI

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

Nov 04Licensed AssociateFinancial ServicesRepresentativeE*TRADE FinancialAlpharetta, GA

operational understanding of the financial services industry proactively ... *Job Title:*Licensed Associate Financial Services Representative *Location:*... more

Nov 10Chase Private Client - Private Client Advisor - St PetersburgJPMorgan ChaseSaint Petersburg, FL

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

Nov 10Private Client Advisor -Chase Wealth Management - El Paso Area, TX (Bilingual Spanish Preferred)JPMorgan ChaseEl Paso, TX

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

Nov 07Chase Private Client Investment AssociateJPMorgan ChaseCasa Grande, AZ

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

Nov 07JPMorgan 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 07Chase Private Client - Private Client Advisor - Brooklyn, NY - Russian Speaking Required (1002 Brighton Beach Ave)JPMorgan ChaseBrooklyn, NY

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

Nov 07JPMorgan Securities | Branch Training Analyst |JPMorgan ChaseNew York City, NY

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

Nov 07Chase Private Client - Private Client AdvisorJPMorgan ChaseCottonwood, AZ

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

Nov 10Fast Track RepresentativeAmericanInternational GroupDes Moines, IA

desirable. About Us American International Group, Inc. (AIG) is a leading internationalinsurance organization serving customers in more than 130 countries and jurisdictions. AIG...more

Nov 10Sales AssistantAmericanInternational GroupAnchorage, AK

be provided. About Us American International Group, Inc. (AIG) is a leadinginternational insurance organization serving customers in more than 130 countries and jurisdictions. more

Nov 07Private Client Group (PCG) Western Zone Auto Product ManagerAmericanInternational GroupCincinnati, OH

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

Nov 06Assistant Market Manager- Sysco International FoodGroupSYSCOPlant City, FL

*Assistant Market Manager- Sysco International Food Group- Plant City,Fl.* Job ID 16248 ... Sysco International Food Group is proud to be an EEO/AA employer - M/F/D/V... more

Nov 02Senior Relationship Manager, Group RetirementAmericanInternational GroupHouston, TX

service requirements are in alignment with group expectations; develop strategies to ... 6 and 63 a plus American International Group, Inc. (AIG) is a leading international...more

Nov 08Ameriprise Advisor Center Client Support Associate-LicensedAmeripriseLas Vegas, NV

career more within reach at Ameriprise Financial.The Client Support Associate ... Manager/Financial Consultant in the financial planning process. Gathering and... more

Nov 06Client Service Coordinator -AmeripriseAmeriprise FinancialLas Vegas, NV

Company Description: Ameriprise Financial is a global financial leader. Since we were ... at Ameriprise Financial. Job Description: Ameriprise Financial is a global financial...more

Nov 06Ameriprise - Client Support AssociateAmeriprise FinancialLas Vegas, NV

Ameriprise Financial is a global financial leader. Since we were founded by ... atAmeriprise Financial. Job Description: Ameriprise Financial is a global financial... more

Nov 04New Financial AdvisorAmeriprise FinancialSan Jose, CA

at Ameriprise Financial. Job Description: Ameriprise Financial is a global financial ... within reach at Ameriprise Financial. New Financial Advisor, Job Code 943BR The... more

Nov 11Director, Digital PortfolioTiaa-crefCharlotte, NC

the advancement of the digital channels at TIAA-CREF. This role will be responsible for providing services for portfolio management, budget management, planning, knowledge...more

Nov 11Associate Wealth Mgmt AdvisorTiaa-crefIthaca, NY

For more information about TIAA-CREF, visit our website. POSITION The Associate Advisor will be partnered with a Senior Advisor or multiple WM Advisors and their books of... more

Nov 11Sr Financial Consultant FCGTiaa-crefSpokane, WA

retention 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 11Marketing Creative Services Operational AdministratorTiaa-crefDenver, CO

principal reviews. This role sits within TIAA-CREF's internal creative agency, known as Creative Services. Responsibilities: Scope & Knowledge of Role: Establish and continually...more

Nov 11Sr. Business Analyst - ITTiaa-crefCharlotte, NC

enhance the client experience, and align TIAA-CREF's Retirement products and services. Due to the sensitivity of financial and client information this individual will be... more

Nov 09Wealth Management Advisor - BoulderTiaa-crefCharlotte, NC

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

Nov 08Associate Wealth Mangement Advisor - NYCTiaa-crefNew York City, NY

*The Company:* For more information about TIAA-CREF,visit our website. * * The Associate Advisor will be partnered with a Senior Advisor or multiple WM Advisors and their books of... more

Nov 08Associate Wealth Management Advisor - NYCTiaa-crefNew York City, NY

*The Company:* For more information about TIAA-CREF,visit our website. * POSITION* The Associate Advisor will be partnered with a Senior Advisor or multiple WM Advisors and their... more

Nov 07Associate Wealth Management AdvisorTiaa-crefColumbus, OH

For more information about TIAA-CREF, visit our website . Job Description The Associate Advisor will be partnered with a Senior Advisor or multiple WM Advisors and their books of...more

Nov 06Associate Wealth Mgmt Advisor- S.F.Tiaa-crefSan Francisco, CA

The Associate Advisor will be partnered with a Senior Advisor or multiple WM Advisors and their books of business. The individual in this role will oversee select client... more

Nov 10Business Analyst with US registrations FINRAGlobalviseNew York City, NY

Business Analyst 2BAUSRNY Area 212 Zip 10001 Skill US Registration Senior Business Analyst-US registrations, Position - 1,Location NYC, FTE only Experience and knowledge of US... more

Nov 07Compliance Examiner - Member Regulation, Sales PracticeFinancial 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

Nov 07Gateway Agent, GBAS - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Gateway Call Center Agent - GBAS opening in Rockville, MD. To be considered for...more

Nov 06Regulatory Analyst - OFDMI/ Office of Whistleblower - Rockville, MD(Job Number: 003716)FinraRockville, MD

The position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Essential Job... more

Nov 06Financial Operations Examiner - Member Regulation, ROOR - Chicago, IL(Job Number: 002515)FinraChicago, IL

We Work to Protect Investors. Join our Team. Job Summary : Conducts on-site examinations and assesses Floor member and member organization's financial and operational condition...more

Nov 06Compliance Examiner - Member Regulation, Sales Practice - Los AngelesFinancial Industry Regulatory Authority (finra)Washington, DC

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

Nov 05Case Administrator I - Dispute Resolution - ChicagoFinancial Industry Regulatory Authority (finra)Riverdale, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Case Administrator I opening in Chicago, IL. To be considered for this position,... more

Nov 05Manager II - Market Regulation, Market Manipulation - RockvilleFinancial Industry Regulatory Authority (finra)Potomac, MD

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

Nov 05Analyst I, Disclosure Review - 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 Disclosure Review Analyst I opening...more

Nov 04Project/Program Manager I - Registration and Disclosure - 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 Project/Program Manager I, opening...more

Nov 04Senior Systems Analyst - 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 Senior Systems Analyst opening in Rockville, MD. To be considered for this... more

Nov 04Business Analyst Specialist, Shared Services - 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 Business Analyst Specialist opening...more

Nov 04Financial Advisor /Stockbroker Trainee - Entry LevelCommerce 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

Nov 04Big Data Solutions Architect - TechnologyFinancial 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 Senior Director opening in New York, NY. To be considered for this position,... 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 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

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