An irreverent Wall Street Blog
by Bill Singer

EMPLOYMENT TUESDAY at BrokeAndBroker.com

July 19, 2011

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

 

 

From Stuart Rosenthal of Rosenthal Recruiting. The below may be seen at the

 Rosenthal Recruiting Job Board

 

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

 

Chief Compliance Office (CCO) -Must have CFTC or NFA tenure. Management Experience. New York Wall Street area. Base salary up to $350,000. See More.

Compliance Manager - Asset Management NY - Midtown location. Portfolio monitoring system for an Registered Investment Adviser (RIA), or other asset management department, hedge fund or financial institution. $140,000. More

 

Major Law Firm Senior Associate or Counsel - Requires: Knowledge of FINRA rules, regulations, and experience advising financial institutions, particularly relating to Securities Offerings. NYC - Midtown. Salary up to $290,00 + substantial bonus More

 

Options Market Making Compliance Base salary up to $165,000 per year + bonus. Series 7 required and 55, 4, 24 registrations. FINRA and SEC regulatory structure, Order Handling Rules and Best Execution, NMS and SHO, including Rule 204T. Read More.

 

Securities Counsel - Blue Sky Practice Leading Law Firm-NY Counsel Level. JD 2003 - 06 ideally. Read More. 

 

ISDA Negotiator - Attorney and Negotiator   7+ Years, JD preferred: Negotiating Master Agreements with Pension Plans and Investment Advisors. VP to Director level: Candidates with 3 + negotiating experience or more will be considered. Salary Up to: $200,000 Read More 

  

Hedge Fund Compliance Officer  New York. Manage, implement and maintain compliance program. Design new compliance initiatives as Regulations, Legal, Compliance and business requirements evolve. Salary: $120,000.Read More. 

  
Paralegal - Investment Management 3+ years working for Mutual Fund Up to $75,000 with up to 20% bonus potential. Near Washington DC. Relocation reimbursement is available. Read More

 

Please e-mail resume and brief cover letter to:

Stuart@RosenthalRecruiting.com

 

 

=============================================

 

Jobs

Don't forget to check out the daily employment listings
on BrokeAndBroker's Employment Page

 

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement BrokerAndBroker Employment Guest Blog Guest Blogger Wells Fargo Street Sweeper Bill SInger Jobs OBA Aegis Frumento U5 Fraud Promissory Note U4 Email Merrill Lynch Morgan Stanley UBS Defamation EFL Elderly Wire Fraud CRD Statutory Disqualification InSecurities BrokeAndBroker PST OHO Suitability FBI Forbes Whistleblower NAC Ponzi Rule 3270 ALJ DOJ Citigroup Supervision BrokerCheck Borrowing Form U4 IRS SDNY OIP Willful Expenses Supreme Court Pro Se Bank Outside Business Activity Felony Ameriprise WSP Rule 2080 Wrongful Termination Securities Industry Commentator Form U5 Rule 8210 IRA Wachovia Discretion Rule 2010 RIA Dodd Frank Discovery JP Morgan NASD Raymond James Insider Trading Business Expenses Mail Fraud Wife Bar Conversion Punitive Damages CCO Husband Rule 1122 Checks Forgery Edward Jones Rule 3240 Willfulness TRO Bankruptcy Estate Settlement LPL Trump Tax Outside Business Activities Credit Card Employment Tuesday Margin Madoff Commissions Schwab NYSE Stephen Kohn Promissory Notes 2Cir Wall Street Frumento Beneficiary Rule 3040 arbitration Injunction Corrective Action Statement Annuities Small Firm Private Securities Transaction Insurance Facebook Impersonation Rule 3280 Options Antitrust Tax Liens Power of Attorney Bank of America Customer Indictment FAA Real Estate ETF Tax Lien Remand Exam Rule 12206 Trust Stay Due Diligence CFTC Mortgage SRO Test Street Legal Spouse ATM Trustee Signature Misdemeanor OTR Barclays Complaint Offer of Settlement COVID Case In Point Sanctions Away Account email Rule 2510 Annuity Crypto VA POA Goldman Sachs ACQ Wire Explained Decision Securities Fraud ARS Spouses Appeal Rule 4511 OWB Initial Decision Motion to Dismiss Eligibility Rule Loan Retaliation Schapiro NASDAQ Solicitation Lien Jurisdiction T&P 9Cir Blockchain Mandatory Arbitration Employee Forgivable Loan E*Trade Burris NSF Rule 12200 Money Laundering JPMorgan Rule 4530 Liens Unauthorized Discretion Fidelity Conspiracy PCAOB RBC Signatures Deutsche Bank Reg SP Cease And Desist Great Recession DCCir Bonus NASAA HFT Discrimination Retirement Manifest Disregard Dissent Reimbursement REIT Flash Crash Compliance Unfair Competition Fiduciary LOA Failure to Supervise TD Ameritrade Unsuitability Hacking Personal Expenses Huffington Post Credit Cards Broker Protocol Continuing Education Motion to Vacate Chase Severance Divorce Disgorgement AML expungement Undisclosed Settlement Rule 3010 Willfully Scottrade Vacatur Class Action Lehman Brothers Rule 3050 CRS Bharara Cryptocurrency BD MSSB Deceased Malware IAR Bitcoin Disclosure Unauthorized Trading Identity Theft Variable Annuity Gallagher Registered Rep Magazine Customer Complaint RRBDLAW.com 10Cir Will MC-400 Hacker Board brokeandbroker Examination Self Regulation Zipper Wey Annual Compliance Questionnaire Variable Annuities SDFL Widow Coronavirus Website Sexist Rule 3110 Spoofing Due Process Away Accounts Loans Audit Stockbrokers Letter of Authorization FINRA Arbitration Social Media Sexism Emails Lucia Forex Apple Wedbush employment Private Placement Internet Stifel Second Circuit Crowdfunding Statute of Limitations 2nd Circuit PIABA BOP LIBOR PNC Lehman Elder Abuse WSPs BrokeAndBroker Bill Singer Arbitraiton Commission Rule 2150 Dakota Securities Brummer Private Securities Transactions Indemnification Registration Prison Public Interest 3Cir Rule 12904 Solicited Rule 12805 jobs Kokesh Confidential Information Credit Suisse Postponement Trading Platform Rule 2111 Fees RMBS Net Capital FINOP RRBDlaw.com BrokeAndBroker.com Blog Telephone FOREX Hilton Weiner Bear Stearns Imposter Unjust Enrichment Charles Schwab MetLife IC3 Hedge Fund Newman Motion to Confirm Whistleblowing Rule 9552 Morgan Keegan NYAG Judgments China Diversity Waiver 4Cir Plea TOD BrokeandBroker Robinhood Time And Price Debit Card Bonds RR Cheating Non-Solicitation bill singer Unsolicited Marijuana Sanction Guidelines Bureau of Prisons ADA Lawyer Knight Rule 4513 Puerto Rico Covid Restaurant Obstruction of Justice SunTrust CE Tortious Interference Small Firm Governor Rakoff Compensation Oppenheimer Piwowar Exhaustion of Administrative Remedies Charge JOBS Act Private Placements Regulation SP Rule 13200 Gold Board of Governors Stifel Nicolaus Confirm Whistleblowers FNMA Auction Rate Securities Rule 2081 Reg S-P Racism CPA Elder Fraud FINRA Board Membership Continuance Statutory Disqualification Committee Embezzlement Testimony Joshua Brown Mutual Funds JPM Check Kiting Concentration Mother WB-APP DOL Botkin Broke And Broker Suspension Protocol Counterclaim OSHA Employment Agreement CNBC IPO Reg D securities industry commentator Funds Termination Margin Call Irreparable Harm Executor ING Unsuitable Michael King Associates Michael King Charity Rule 2210 PN Customer Information Confidential Confidentiality Customers TheBlot Raiding Immunity Medicare Passcode CMA SAC Churning 11Cir Enforcement Appointments Clause 9/11 High Frequency Trading Johnny Burris Research OIG Day Trading Pennystocks Non Solicitation Puts Corruption Rule 12504 CEO Morgan Stanely Wine Series 7 Article V Information Stanford Check Trade Secrets Ketchum Bandimere Woody Allen Circuit Court Wire Transfer Service Unregistered EIA Feigenbaum 1Cir Hurry Dementia Cannabis Bloomberg Testing USERRA Shah Gilani Leveraged ETF Breach of Contract Bank Fraud TSSB Affiliate VIX Taxes Banc of America MF Global Affinity Fraud Rationale Conflict Khuzami Rosenthal Recruiting Rule 13805 Aleynikov Pennystock HSBC Inability to Pay Sales Assistant Robert Cook NoCA Biden Phishing Federal Reserve Standing AAA Lawyers Teleconference Vietnam Probate signature Marine Corps Ride the Thunder Moon Penson Marines Stipulated Award Self Regulatory Organization OCIE Ethereum BrokeAndBroke Saad Morgan Stanley Smith Barney Attorneys Fees Lincoln Financial Finder\'s Fee EDNY Nietzsche Honorarium Slander David Sobel Rule 3310 Sarbanes Oxley Conflict of Interest Consent Order Star Wars Bid Rigging Wanger Absolute Immunity Written Supervisory Procedures Medical Condition IM NDCA Libel Vault Hugh Hewitt Relevant Disciplinary History ACH Whitman Government Accountability Project Guitron Eligibility Sexual Harassment Yesenia Guitron 10b-5 Statement of Corrective Action Chase Investment Services Outside Account Marketplace NPR Trader Failure To Supervise Constitution Test Center FMLA Kon ICO AXA Congress Sharemaster money laundering Amazon Parking Disability Poteroba Chief Compliance Officer Talman Harris Laptop Administrative Remedies Subpoena PAQ 401k Rule 9554 6th Circuit Aguilar FINRA AWC supervision Deferred Compensation TCR Negligence McDuff Casino Corzine Joint Account Death Unauthorized Practice of Law Gensler Side Bar Motion to Compel Layering Commodities Fraud Hester Peirce Over Concentration CDO Google Argentina Mutual Fund White Beneficiaries fraud Accounting DNJ Rule 3030 Rule 12212 Online Smith Barney Finra Obstruction Form ADV Hearing 6Cir Third Party Vendor Wires Disciplinary History Stockbroker Pension Newport Coast Securities Taft Correctional Institution Investment Adviser CD 40 Act Timban Kiting Florida Netschi Texting Excessive Trading Schneiderman Reform FAP David Lerner Oral Discretion Verbal Discretion Motion 11th Circuit Fines BrokeAndbroker TIC Moore Chiasson Prudential 10b-10 FINRA Small Firm Fee Confirmation Capital Gains Elles Gamification Risk First Amendment Rule 2430 Rule 21F Revocation OWWP Christian Stanley ESOP Chase Bank Johnson For Cause Fowler Microcap Resignation wrongful termination Withdrawals Life Insurance Acosta Expert Witness NY Life Client Information Settling Away Attorneys\' Fees Department of Justice Subject Matter Jurisdiction WaMu Puerto Rico Bonds Privilege Fifth Amendment CGMI Inside Information Meals YouTube 401(k) Password Series 79 Son NRF Hotel RICO Outside Accounts Scottsdale NYG Capital Commodities Self Reporting Offset FOCUS Inmate Arrest Money Market Extortion Rule 13504 Respondeat Superior Default Rule 2370 Rule 1031 Relevant Rory Flynn Selling Away Equity Indexed Annuities Tax Fraud Crime VXX wire fraud mail fraud Chevron Annual Audit Outside Counsel 17a-5 Falsification Obama Regulation S-P Dell Daughter Civil Rights Control Person Hospital Trading Elder Law FCPA S&P SD Blank Forms elderly RRBDlaw BrokerAndBroker.com Commissioner Stein Restitution Judgment Stop Loss Backstage Wall Street Escrow Data Self Directed Reuters Regulation BATS Red Flags Guest Bloggers Jennifer Tarr Investor Alert Copyright LLC Cold Spring Advisory Group Fine Female Counterfeit Pruco Do Not Call Turnover Cantor Fitzgerald Electronic Communications Non Solicit Reverse Life Insurance Sexual Discrimination Spoliation Thain Fiduciary Duty Preliminary Injunction State Actor Arbitration FCI SP SIFMA Permanent Bar Scholander FCI Beaumont Rule 9216 McCartney Flash Drive Hertz Title VII Wire Transfers Supervisor Orders Binary Options iPhone JPMS bank CAT Springsteen Short Sale Expense false statements Compromise Naskovets Non Compete Khan Solomon Walter Practice Sale DMD Women QuadrigaCX Stock Promotion Court of Appeal Particularity FDA Confidential Customer Information Apartment DWI sexism Schumer Witness Tampering RRBDLAW Rule 3210 Wages Fiero Public Arbitrator reimbursement Third Party Beneficiary expenses Securities and Exchange Commission Jay Clayton Sharing Agreement Retroactive Bar Clayton Retroactive Hayden Kenneth Starr Gifts Nationwide Burden of Proof Diabetes Forfeiture Galleon FTC Production Theft Pershing Mail Lexicon Cryptocurrencies Anderson Dostoevsky Lee Sex FNI Media CMO Extraordinary Circumstances Sterne Agee Collateral Bar SDOH Wells Fargo Advisors 1099 Transamerica Obamacare Racial Discrimination Kierkegaard Newbridge Dinner Zoom Life Settlement Espionage Coin Dow Bartko Reason for Termination Municipal Advisor JAMS GAP Well Managed Portfolio NRSRO College Janney Montgomery Scott Transfer Game of Thrones No Show Rule 144 Baby Boomers Undercover Subway Mary Jo White Compliance Officer ALJ Grimes Altered Hackers Constructive Discharge Joint Production SIPC NML Diamonds Tysk Prime Bank Sears Kennedy Swaps Fourth Amendment Allstate ADR Principal Municipal Bonds Investacorp MDLA Motion To Dismiss Liu ETFs God EEOC FINRA Foundation BIll Singer Rule 13904 Mary Schapiro Dissident Criminal Grievance IBM Martoma UIT Father Disney SEC Rules of Practice Evidence Bill Singer BrokeAndBroker State Farm Merger Notice Silver BrokeandBroker.com Promoter Production Bonus Transitional Bonus National Securities Daspin Dylan Branch Manager Ecuador Financial Disclosure Res Judicata Books and Records Rule 12104 Molchatsky ACT! Salman Brokeandbroker.com Voya Initials Examinations Harassment Exotic ETF JPMorgan Chase Ethics Motion to Postpone Quasi Governmental Boyland EB-5 Liquidation Led Zeppelin Securities America Rule 420 NYLIFE Disparate Treatment NFA Section 206 Jon Corzine Romer Undertaking Mattera Texas State Securities Board Penalty Back Dated AIG Gabelli Eric Stein Blackbook Proctor Series 66 Tennis Court Ten Commandments Checking Investment Advisers Act Stephen A. Kohn Trainee Fee PSRO Laser Lek Exception Reports Retired Woman With Cane HBO Preet Bharara Customer Files Superior Court Summary Judgment Personal Information EDPA Koval Law School Arbitrator Tran NPI Fundacion Nicor Harris Panama FinCEN Bank Secrecy Act Impersonator Punitive BitTorrent Compliance Questionnaire Books And Records Covid-19 Scam Patriot Act Reverse Merger Press Release Jury Instructions Alcoholism PHC Tesla Elon Musk Legend Countrywide Last Known Address Nasdaq 5Cir Vacate Mantar Vaccarelli Banks Arbitrability securities fraud Nicolas Corcione Motiion to Acquit Statute of Limitation Tax Advice AWC. FINRA Schottenstein Guardian Section 1332 Preliminary Determination Frivolous Bill singer Rule 12511 BBVA Gnomes Age Discrimination ADEA Traders Merill Lynch Guardianship Bribe South Park FINRA Eligibility Rule Income Lewis Carroll William Faulkner Cybersecurity Bob Dylan ESG At Will Cybercrime Beatles Varney GameStop Skimming Payroll Hurtado Tippee Tipper Travel Bequest Unauthorized Trades In House Counsel US Airways Cellphone MSPB Fraudulent Inducement Margin Calls Berthel Fisher AI Office of Special Counsel Executrix Rules of Practice Currency Altered Records 8210 Hearsay Non-Prosecution Agreement Rule 2330 Martin Excel Twitter Reasonable Advisor Placement Group SDCA Collateral Oilpro MBS Capitalism Willfull 9th Circuit Deceased Customer Exhaustion Doctrine Powell Murray House Financial Services Deferred Prosecution Agreement Credit Repair Wang DPA Bank Guarantee Leveraged ETFs Conflicts Costa Rica Kent Work Product Vungarala Spam Bezos Pacifico ALJ Foelak Malice Broy Cherry Picking In Connection With Merrill Mistake Purshe Kaplan Stipulation Allocation Goble Turbeville