by Bill Singer
Employment Tuesday at BrokeAndBroker.com
July 5, 2011
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
From Stuart Rosenthal of Rosenthal Recruiting
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Registration Compliance/CRD Officer base salary is $75,000 + bonus. Requires: FINRA CRD filings, U-4, U-5., Web CRD. Read More.
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Options Market Making Compliance base salary up to $165,000 per year + bonus. Series 7 required and 55, 4, 24 registrations preferred. Must possess a superior understanding of FINRA and SEC regulatory structure, Order Handling Rules and Best Execution, Regs NMS and SHO, including Rule 204T. Description available on request.
Read More. - Securities Counsel - Blue Sky Practice Leading US Law Firm - New York Office Counsel Level. JD 2003 - 2006 ideally. Read More.
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ISDA Negotiator - Attorney and Negotiator 5+ Years Required: Negotiating Master Agreements with Pension Plans and Investment Advisors. Vice President (VP) to Director level: Candidates with 7 + years of negotiating experience or more will be considered. JD preferred but not required. Salary Up to: $200,000. Read More
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Hedge Fund Compliance Officer . Located in New York. Manage, implement and maintain compliance program. Reports directly to the General Counsel/Chief Compliance Officer. Responsibilities include: Design new compliance initiatives as Regulations, Legal, Compliance and business requirements evolve. Salary: $120,000. Read More.
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Paralegal - Investment Management Requires 3+ years working for a Mutual Fund Company, 7-10 years total work experience, knowledge and experience with the Investment Advisers Act of 1940 and Securities Act of 1933. Experience with ETFs is preferred. Compensation: Up to $75,000 with up to 20% bonus potential. Near Washington DC and relocation reimbursement is available. Read More
Stuart@RosenthalRecruiting.com
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| Jul 04 | Financial Regulatory Attorney / Practice Support | Prestigious Global Law Firm | New York, NY |
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and regulatory developments - SEC, FINRA, Dodd Frank etc - Prepare written analyses of developments for attorneys and clients; assess risk - Create and develop strategy to manage... more | |||
| Jul 04 | Intermediary Account Manager 3 (Key Accounts Manager) | Wells Fargo | San Francisco, CA |
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mutual fund marketing or sales experience. FINRA licenses required. Minimum ... communications and presentation skills. - FINRA licenses: Series 7 and 63. - Must... more | |||
| Jul 04 | Intermediary Account Manager 3 (Key Accounts Manager) | Wells Fargo | Chicago, IL |
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mutual fund marketing or sales experience. FINRA licenses required. Minimum ... communications and presentation skills. - FINRA licenses: Series 7 and 63. - Must... more | |||
| Jul 02 | Licensed Financial Sales Consultant - Glades @ Lyons | PNC | Boca Raton, FL |
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* FINRA Series 6 & 63 (or 7 and 66) licenses required * Life/Health Insurance required * Proven track record in sales production and a strong desire to succeed * Excellent... more | |||
| Jul 02 | Intermediary Account Manager 3 (Key Accounts Manager) | Wells Fargo | Menomonee Falls, WI |
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mutual fund marketing or sales experience. FINRA licenses required. Minimum ... communications and presentation skills. - FINRA licenses: Series 7 and 63. - Must... more | |||
| Jul 01 | Regulatory Analyst - Market Regulation, Market Manipulation Investigations | Financial Industry Regulatory Authority | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... consider a career with FINRA. Please note: FINRA's Code of Conduct imposes restrictions... more | |||
| Jul 01 | Regulatory Analyst - Market Regulation, Market Analysis | Financial Industry Regulatory Authority | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... consider a career with FINRA. Please note: FINRA's Code of Conduct imposes restrictions... more | |||
| Jul 01 | Wm Financial Advisor | Wells Fargo | Portland, OR |
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years investment advisory experience; FINRA registration; Series 7, 63, 65 or equivalent and state life and insurance licenses.5+ years investment advisory experience; FINRA... more | |||
| Jul 01 | Prime Brokerage Operations | Aerotek | New York, NY |
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and risk issues - Ensure compliance with FINRA and SEC regulations - Focus on improving processes and controls To be qualified for the Prime Brokerage Operations position, the... more | |||
| Jul 01 | Senior Accountant or Supervisor | Kforce Finance & Accounting Staffing | Woodbridge, NJ |
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with public and private companies, SEC, and FINRA reporting * Train staff and develop internal professional education courses * Supervise semi-seniors and staff accountants Great... more | |||
| Jul 01 | Manager of Internal Audit - retail banking | Kforce Finance & Accounting Staffing | White Plains, NY |
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regulatory environment with respect to OCC, FINRA, and the Federal Reserve Code requirements. * Proficient understanding of the internal audit process including risk assessments,... more | |||
| Jun 30 | Investment Sales Specialist - FINRA Licensed | Kforce Finance & Accounting Staffing | Harrisburg, PA |
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Our client is seeking a FINRA licensed candidate for a direct-hire employment opportunity! ... face to face contact. Candidates must have a FINRA Series 7 and preferably a Series 66 to... more | |||
| Jun 30 | Financial Advisor | Kforce Finance & Accounting Staffing | Dallas, TX |
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ate will have a Bachelor's Degree and anywhere from 2 to 10 years of relevant experience. Licensing requirements consist of FINRA Series 7/63, Series 7/66, or Certified Financial... more | |||
| Jun 30 | Regional Director Northeast & West Regions | Dunham & Associates Investment Counsel | San Diego, CA |
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and RIAs Financial Advisor background *FINRA Series 7 and Series 66 registrations Education College Degree - Bachelor's or higher Extensive Travel Required Dunham & Associates... more | |||
| Jun 29 | Investment Sales | Kforce Finance & Accounting Staffing | Pittsburgh, PA |
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Our client is seeking a FINRA licensed candidate for a direct hire employment opportunity. ... face to face contact. Candidates must have a FINRA Series 7 and preferably a Series 66 to... more | |||
| Jun 29 | Junior Sales Engineer | Interactive Brokers | Greenwich, CT |
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exchange and fixed income *Registrations: FINRA Series 7, 63 or ability to obtain licenses Benefits: Paid Medical Insurance Dental Insurance Life Insurance 401K Plan Daily Lunch... more | |||
| Jun 29 | Securities Chief Compliance Officer | Parkway Consulting | Chicago, IL |
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daily regulatory inquiries by the SEC, CFTC, FINRA, CBOE, NFA, and CME Coordinates examinations with various governmental and self regulatory organizations (SROs) such as the... more | |||
| Jun 28 | Senior Vice President and Regional Director - Sales Practice, Member Regulation | Financial Industry Regulatory Authority | New York, NY |
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manager and FINRA officer, represent FINRA and Member Regulation before various ... to the FINRA career site, please type www.finra.org/careers in your browser to reach... more | |||
| Jun 28 | Project Manager / Senior Business Analyst | First Allied Securities | San Diego, CA |
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the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC), and a Registered Investment Advisor offering fee-based products and... more | |||
| Jun 28 | Project Manager | First Allied Securities | San Diego, CA |
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the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC), and a Registered Investment Advisor offering fee-based products and... more | |||
| Jun 27 | AVP, Product Development | Top Insurance Company | Columbus, OH |
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lus. Positions responsible to the distribution channel for this position, product development, and/or the actuarial function. Certification: FINRA Series 6 and 26 licenses may... more | |||
| Jun 27 | SVP, Director of Insurance | Human Capital Resources | Columbia, SC |
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consultant, registered representative, nasd, finra, investment executive, investment representative, wealth manager, wealth management, wealth advisor, investment advisor,... more | |||
| Jun 26 | REGIONAL MARKETING SPECIALIST - Internal Wholesaler (FINRA Series 6 & 63 required) | AIG | Woodland Hills, CA |
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MARKETING SPECIALIST - Internal Wholesaler (FINRA Series 6 & 63 required) Profession: ... MARKETING SPECIALIST - Internal Wholesaler (FINRA Series 6 & 63 required)Job ID #:... more | |||
| Jun 26 | Broker Dealer Principal FINRA 7 and 24 license is required | MetLife | Somerset, NJ |
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The primary job function of the Broker-Dealer Registered Principal is to review and process the completeness and suitability of Direct Business Mutual Funds and 529 account... more | |||
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