EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 21, 2015
Financial Advisor
NEWBank of the West
- Aurora, COWhat sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of...
Financial Advisor
NEWBMO
- Chicago, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
NEWBB&T Bank
- Greenville, SCEssential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...
Financial Advisor
NEWBB&T
- Warrenton, VAAuto req ID 29198BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Warrenton, VA - 560 Broadview Avenue Language Fluency English...
Financial Advisor
NEWCiti
- CaliforniaDescription BUSINESS DESCRIPTION Citi Personal Wealth Management (CPWM) provides clients with professional advice, customized services and access to non-FDIC insured investments...
Financial Advisor
Ninjob | Employment Marketing
- Fond Du Lac, WIDo these words describe you…Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is...
Financial Advisor
AIG Financial Advisors
- Los Angeles, CAPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
First Command Financial Services
- Beaufort, SCFirst Command Financial Services is committed to helping military families get their financial lives squared away and pursue their goals and dreams through coaching and guidance...
Financial Advisor
American International Group
- Los Angeles, CAPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
CUNA Mutual Group/cuna Brokerage Services
- Montpelier, VTJob Description Work Location: Montpelier, Vermont, United States. We are seeking an uncommon professional to join our team as a Financial Advisor. Job Responsibilities: Serve...
Financial Advisor
CUNA Mutual Group/cuna Brokerage Services
- Montpelier, VTWork Location: Montpelier, Vermont, United States. We are seeking an uncommon professional to join our team as a Financial Advisor . Job Responsibilities: Serve Your Clients: 1.
Financial Advisor
Kendal Capital Insurance
- Maitland, FLInsurance and Wealth Management firm seeking individuals looking for a career in the financial services industry. The position consists of a 90 day, 20 hour a week internship.
Financial Advisor
Heritage Federal Credit Union
- Newburgh, INDescription:Heritage Financial Services, Inc., is seeking an uncommon professional to join our team as a Financial Advisor. Heritage Financial Services, Inc., is a wholly owned...
Financial Advisor
BMO Financial Group
- Palatine, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
Keybank
- Ann Arbor, MI**ABOUT KEY:** Cleveland-based KeyCorp is one of the nation's largest bank-based financial services companies, with assets of approximately $92.9 billion. Key companies provide...
Financial Advisor
NASA Federal Credit Union
- Upper Marlboro, MDThe Financial Advisor provides professional advisory services to Private and Business clients. Prepares and delivers comprehensive financial plans that may include portfolio...
Financial Advisor
AXA Advisors
- Oklahoma City, OKFinancial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...
Financial Advisor
BMO Harris Bank
- Palatine, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services...
Financial Consultant
NEWAXA Advisors
- Brooklyn, NYCompany Description: About AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them define and pursue...
Financial Consultant ENTRY LEVEL US RESIDENTS ONLY NYC
NEWAXA Advisors
- New York City, NYCompany Description: To qualify, you should have a strong business background and a personal history of success. You should be results-driven, possess unequivocal honesty and...
Financial Professional (Retirement Benefits Group)
NEWFinding the right match can be a challenge - especially when you want more than just material success. If you're a high-achiever looking for an opportunity with the potential of a...
Experienced Financial Advisor
AXA Advisors
- San Mateo, CAAXA Advisors, LLC, a respected leader in the financial services industry, has exciting opportunities for motivated, team-oriented individuals seeking professional satisfaction,...
Financial Advisor (Entry-Level)
AXA Advisors
- San Mateo, CAAXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk management. We have more...
Life insurance & Annuity Sales
AXA Advisors
- San Mateo, CAAXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk management. We have more...
Director - Investment Specialist
AXA Advisors
- New JerseyCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
Manager, Advertising Compliance
AXA Advisors
- New JerseyCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
Lead Manager, Advertising Compliance
AXA Advisors
- New JerseyCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
Branch Operations Manager - Columbia
AXA Advisors
- MarylandCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
FINANCIAL PROFESSIONAL - IN, INDIANAPOLIS (3184)
AXA Advisors
- Indianapolis, INCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
Financial Advisor
AXA Advisors
- Oklahoma City, OKFinancial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...
Experienced Financial Services Representative
NEWMetLife
- VirginiaDescription Summary of Responsibilities : An Experienced Financial Services Representative (EXP) is an individual or an entity that is entrusted with the task of providing advice...
Financial Services Representative
NEWMetLife
- VirginiaDescription Are you ready to move from "just a job" to building a career? At MetLife Premier Client Group of the Mid-Atlantic, an office of MetLife, we are looking for talented...
Financial Services Representative
NEWMetLife
- VirginiaDescription Are you ready to move from "just a job" to building a career? At MetLife Premier Client Group of the Mid-Atlantic, an office of MetLife, we are looking for talented...
Managing Sales Director I
NEWMetLife
- MichiganJob Location Grand Rapids, MI Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of...
Lead Broker Dealer Principal
NEWMetLife
- North CarolinaJob Location Charlotte, NC Job Description Functional Responsibilities: Highest level non-managerial individual contributor in this family, widely known for his/her subject matter...
Recruiting Coordinator
MetLife
- TexasJob Location Houston, TX Job Description Provide ongoing support to firm management in achieving recruiting objectives. Participate in activities and events to assist in...
Corporate Counsel Broker Dealer Investment Advisor
MetLife
- North CarolinaJob Location Charlotte, NC Job Description MetLife's Hiring Philosophy: In Legal Affairs, we strive to attract, develop and retain diverse talent with the potential to be future...
Financial Services Team Associate
MetLife
- IndianaDescription This job can become a career and lead an individual to a life of significance, where the individual will positively impact peoples' lives. We at MetLife believe this...
Financial Services Representative MetLife Resources
MetLife
- GeorgiaDescription Every so often it's worth taking the time to evaluate information on new opportunities. That time has arrived. At MetLife Resources, a division of the Metropolitan...
Experienced Financial Services Representative
MetLife
- MinnesotaDescription Summary of Responsibilities : An Experienced Financial Services Representative (EXP) is an individual or an entity that is entrusted with the task of providing advice...
Sr Agency Compliance Consultant
MetLife
- ArizonaJob Location Tempe, AZ Virtual Location No Job Description Job Summary : Ensures agency compliance responsibilities and related supervisory requirements are maintained. Ensures...
New Account Principal I - Chase Wealth Management
NEWJPMorgan Chase
- Columbus, OHMonday - Friday, 10am - 7pm ET, This position is part of the Retail Broker Dealer business. The successful candidate needs to have a strong problem solving ability and be able to...
Corporate Compliance - Surveillance Manager - Fixed Income and Swaps Trade Surveillance - Vice President - Jersey City
NEWJPMorgan Chase
- New York City, NYJPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of %242 trillion and operations in more than 60 countries. The firm is a leader in...
Private Client Service Specialist-Sales Support - Chase Wealth Management
NEWJPMorgan Chase
- Columbus, OHThe Chase Private Client (CPC) Service Specialist is responsible for delivering a superior service as we assist our advisors with the sales of bank managed products on the private...
Corporate Compliance - Registration Advisory - Associate
NEWJPMorgan Chase
- Columbus, OHJPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of %242 trillion and operations in more than 60 countries. The firm is a leader in...
Chase Wealth Management - Market Director - Miami Dade
NEWJPMorgan Chase
- Miami, FLBusiness Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of...
Global Investment Opportunities Group - Latin America Private Bank - ED
NEWJPMorgan Chase
- New York City, NYGlobal Investment Opportunities Group J.P. Morgan Private Banking, which includes both the Private Bank and Private Wealth Management businesses, offers individuals and families...
Chase Wealth Management - Financial Advisor - Lakeland, FL (Near Orlando and Tampa)
NEWJPMorgan Chase
- Lakeland, FLFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Irvine
NEWJPMorgan Chase
- Santa Ana, CAFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Rolling Hills Estates
NEWJPMorgan Chase
- Long Beach, CAFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Chase Wealth Management - Chase Private Client Investment Associate - McAllen, Texas (McAllen Neuhaus) Bilingual Spanish Required
NEWJPMorgan Chase
- Mcallen, TXChase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.3 trillion and...
Anticipated Private Client Advisor - Chase Wealth Management - Westminster Beach, CA (Bilingual Vietnamese Preferred)
NEWJPMorgan Chase
- Buena Park, CAFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Tucson, AZ (Magee and Oracle)
NEWJPMorgan Chase
- Tucson, AZFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Carlsbad
NEWJPMorgan Chase
- Vista, CAFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management
NEWJPMorgan Chase
- Las Vegas, NVFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Jacksonville, FL (Mandarin)
NEWJPMorgan Chase
- Jacksonville, FLFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
AM- Investments Middle Office, Project Analyst, Associate
NEWJPMorgan Chase
- Westerville, OHAbout JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include...
Asset Management Latin America Private Bank Client Service Associate
NEWJPMorgan Chase
- Miami, FLAbout JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include...
Anticipated Private Client Advisor - Chase Wealth Management - Ventura
NEWJPMorgan Chase
- Woodland Hills, CAFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Financial Advisor Associate - Chase Wealth Management - Monterey Park
NEWJPMorgan Chase
- Manhattan Beach, CAFinancial Advisor Associate Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
Anticipated Financial Advisor - Chase Wealth Management
NEWJPMorgan Chase
- Central Point, ORFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Financial Advisor - Chase Wealth Management -Mt Dora
NEWJPMorgan Chase
- Mt. Dora, FLFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Chase Private Client Investment Associate - Flushing, MI (Flushing Point)
NEWJPMorgan Chase
- Flushing, MIChase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.3 trillion and...
Anticipated Private Client Advisor - Chase Wealth Management - Santa Monica and Beverly Hills
NEWJPMorgan Chase
- West Hollywood, CAFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Denver
NEWJPMorgan Chase
- Aurora, COFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Peoria
NEWJPMorgan Chase
- Goodyear, AZFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Compliance Officer
Robert Half International
- New York City, NYThe Compliance Officer will have experience with SEC and FINRA rules and regulations, know ... ChiefCompliance Officer and management on compliance and supervisory matters - Helps...
Compliance Officer
Robert Half Finance & Accounting
- New York, NYThe Compliance Officer will have experience with SEC and FINRA rules and regulations, know ... ChiefCompliance Officer and management on compliance and supervisory matters - Helps...
Compliance Officer
Hanson McClain Advisors
- Sacramento, CASUMMARY OF THE POSITION: The Compliance Officer position is responsible for assisting with ... * Identifies potential areas of compliance vulnerability and risk; develops/implements cor...
Senior Compliance Officer
NEWMajor International Bank
- New York City, NY(O&T) Compliance is part of the Markets Compliance team within ICG Compliance. The ... compliance guidance and administering Compliance policies/procedures as needed in a...
Senior Compliance Officer
Independent Investment Management Company
- Atlanta, GAKey Responsibilities / Duties: Responsible for implementing all aspects of Compliance for ... Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, and ERISA)...
Senior Compliance Officer
Michael Page International - US
- Manhattan, NYfor all Oversee compliance with SEC, FINRA and state rules and regulations ... Bank. In coordination with AMLCompliance Officer, maintain and update the Compliance...
Senior Compliance Officer
Leading Financial Services Firm
- Stamford, CTResponsibilities for Senior Compliance Officer: · Provide compliance support for equity ... regulation Qualifications for Senior Compliance Officer: · Minimum 5 years of experience...
Chief Compliance Officer
NEWInternational Market Recruiters
- New York City, NYNew York, NY, is seeking a Chief Compliance Officer to provide guidance in product ... regulatory matters with Global Head of Compliance (FACTA, ABC, Research, IB...
Chief Compliance Officer
NEWCompliance Search Group
- San Francisco, CAactivities, including the annual compliance audit, to ensure compliance with regulations ... Officer (CCO) WHO will be responsible for overseeing all regulatory and compliance...
Chief Compliance Officer
JLL (jones, Lang, Lasalle)
- Chicago, ILadvisory business in the Americas, compliance officer of LaSalle Investment ... Chief Compliance Officer *Date updated:* 17-Mar-2015 *City:* Chicago *Auto Req ID:*...
Financial Industry Regulatory Authority
- New York, NYFINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...
AVP, Compliance & Platform Oversight
NEWAsian American Lawyers Association of Massachusetts (aalam)
- Charlotte, NCis the nation's largest independent broker/dealer and fourth largest broker/dealer ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Investment Advisor Attorney
NEWAmeriprise Financial
- Minneapolis, MNThe attorney in this position will play a key role in providing legal support, benchmarkin ... Financial the largest independent broker-dealer (IBD) in the managed account space.
Enforcement Counsel
NEWFinancial Industry Regulatory Authority
- New York, NYFINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Assistant General Counsel Municipal Securities
NEWCiti
- New YorkCiti control functions and outside counsel. The attorney will also be expected ... Experience with municipal finance, broker-dealer regulation and derivatives a...
Private Banking Wealth Management Lawyer
NEWMultinational Financial Services Holding Company
- New York City, NYcandidate will be responsible for providing legal counsel and advice to the business on ... Commodity Pool Operator. Finally, the Attorney will advise on various broker-dealer...
Corporate Attorney--Fund Formation
NEWLsj
- New York City, NYas well as to investment advisers and broker-dealers by providing the following ... agreements -Compliance rules and regulations of SEC, FINRA and other regulatory...
Associate Attorney--Investment Management
NEWLsj
- New York City, NYas well as to investment advisers and broker-dealers. -Helping clients launch new ... -Counsel clients on Compliance rules and regulations of SEC, FINRA and other regulatory ag...
Counsel - Investment Advisers Act
NEWAmeriprise
- Minneapolis, MNThe attorney in this position will play a key role in providing legal support, benchmarkin ... Financial the largest independent broker-dealer (IBD) in the managed account...
Securities & Insurance Distribution Counsel, Assistant General Counsel (13241)
NEWNew York Life Insurance Co
- New York City, NY& Insurance Assistant Counsel: A Fortune 100 life insurer with retail brokerage and ... familiarity withbroker/dealer and registered investment adviser issues.
Paralegal, Office of Liaison & Counsel
NEWFinancial Industry Regulatory Authority
- Washington, DCFINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Attorney-Credit Fixed Income (Capital Markets)
NEWNationally Chartered Bank
- Charlotte, NCInvestments, Inc., a registered broker-dealer, underwrites and sells investment grade ... securities and broker-dealer laws and regulations, review of, and guidance...
Paralegal, Office of Liaison & Counsel
Finra
- Washington, DCand to authorize their broker-dealers to provide FINRA with duplicate statements for ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an...
Corporate Counsel Broker Dealer Investment Advisor
MetLife
- North CarolinaResponsibilities: Handle complex legal matters, analyze legal issues, draft legal ... the executive-level. Business Category Legal Affairs Job Category Legal - Attorney Number...
Private Banking Wealth Management Lawyer
Multinational Financial Services Holding Company
- New York City, NYcandidate will be responsible for providing legal counsel and advice to the business on ... Commodity Pool Operator. Finally, the Attorney will advise on various broker-dealer...
Paralegal / Compliance Specialist
Kelly Services
- Florham Park, NJMinimum of 3 years experience in broker-dealer regulatory compliance matters. ... from litigation attorneys and senior counsel to legal administrators and...
Corporate Counsel
Loyal3
- San Francisco, CAdepartment, including advice on broker-dealer regulations and development of corporate ... culture Research corporate, securities and broker-dealer laws and regulations, and other...
Legal - Assistant General Counsel - Corporate & Investment Bank, Cash Equities - ED (NYC)
JPMorgan Chase
- New York City, NYinstitution advising on broker-dealer regulatory issues, cash equity trading issues ... with cash equities legal, regulatory and compliance issues, broker-dealer...
Associate General Counsel (Securities/Regulatory)
Scottrade
- St Louis, MOissues to Scottrade, Inc., a broker-dealer, and Scottrade Investment Management, ... by Scottrade, Inc., the firm'sbroker-dealer, and Scottrade Investment Management,...
Counsel (Contractor) Options Regulation - Market Regulation
Financial Industry Regulatory Authority
- Chicago, ILand to authorize their broker-dealers to provide FINRA with duplicate statements ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is...
Deputy Regional Chief Counsel, Enforcement
Financial Industry Regulatory Authority
- San Francisco, CAa securities regulator. FINRA employees are required to disclose to FINRA all brokerage ... and to authorize theirbroker-dealers to provide FINRA with duplicate statements for all...