EMPLOYMENT TUESDAY at BrokeAndBroker.com
February 24, 2015
Financial Advisor
NEWCambridge, OHCompany Description: industrial manufacturer Job Description: ~~Our client, a boutique Financial Services Firm is seeking to add a talented Financial Advisor to their team. We are...
Financial Advisor
NEWXxi Century Financial
- Tampa, FLCompany Description Impacting Lives Throughout Lifetimes is not just our firm s tag line it is our core philosophy As an organization our common mission is to provide our client...
Financial Advisor
NEWAXA Advisors
- Woodbridge, NJCompany Description AXA Advisors LLC is a leading provider of financial services for consumers and businesses working with clients to help them define and pursue their financial...
Financial Advisor
NEWThrivent Financial
- Cleveland, OHCompany Description: Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities...
Financial Advisor
NEWNorthern Financial Services
- Watertown, NYCompany Description: A progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services...
Financial Advisor
NEWCUSO - Northern Financial Services
- Watertown, NYDESCRIPTION A progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services team at...
Financial Advisor
NEWValic Financial Advisor Careers
- Baltimore, MD: Position 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
NEWThrivent Financial
- Baltimore, MDCompany DescriptionThrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities by...
Financial Advisor
NEWFirst Command Financial Services
- Mobile, ALFirst 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
NEWFinancial Planning Services
- Boise, IDJob Description: DESCRIPTION Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for! This...
FINANCIAL ADVISOR
NEWInvestors Bank
- Wantagh, NY## Requirements SUPERVISORY RESPONSIBILITIES Ensure branch office and satellites operate within compliance standards. QUALIFICATIONS Bachelors degree or equivalent experience.
Financial Advisor
NEWAmerican International Group
- Battle Creek, MIWhy VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Financial Advisor
NEWAmerican International Group
- Terre Haute, INWhy VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Financial Advisor
NEWBMO Harris Bank
- Kokomo, INPremier 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
NEWBMO Harris Bank
- Plainfield, 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
- Birmingham, ALAuto req ID 32147BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Birmingham, AL - 2501 20th Place South Language Fluency English...
Financial Advisor
NEWPNC
- Franklin, PAAs a PNC Financial Advisor you will become part of PNC Investments, a specialized subsidiary of PNC Bank that provides products and services for individuals interested in...
Financial Advisor
NEWRehmann
- Vero Beach, FLRehmann Financial, a member of Rehmann, is a wealth management firm offering integrated advice in all areas of our clients' financial lives. Because most life goals have a...
Financial Advisor
R. Knapp Financial
- Peoria, ILCompany Description: We are an independent financial services firm specializing in retirement plans and individual wealth management. We have experienced significant growth in the...
Financial Advisor
R. Knapp Financial
- Peoria, ILCompany Description: We are an independent financial services firm specializing in retirement plans and individual wealth management. We have experienced significant growth in the...
Financial Advisor
Xxi Century Financial
- Atlanta, GACompany Description: Impacting Lives Throughout Lifetimes is not just our firm's tag line, it is our core philosophy. As an organization, our common mission is to provide our...
Financial Advisor
New York Life
- Melville, NYJob Description: Financial Advisor New York Life - Melville, NY PARTNER WITH US AND SEE YOUR CAREER GROW WITH NEW YORK LIFE GREATER LONG ISLAND OFFICE IN MELVILLE,NY! We are...
Financial Advisor
AXA Advisors
- Williamsville, NYCompany Description: AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
Financial Advisor
Mass Mutual
- Newport Beach, CAJob Description: ~~Career changers: looking for a rewarding career? Are you looking for a career that will leverage your years of work experience, provide you an opportunity to...
Financial Advisor
Mass Mutual
- Newport Beach, CAJob Description: ~~Career changers: looking for a rewarding career? Are you looking for a career that will leverage your years of work experience, provide you an opportunity to...
Compliance Officer
NEWCompliance Search Group
- Chicago, ILCompliance Officer -Many Levels A Financial Services Firm seeks a number of Compliance ... complianceexperience. ADR experience would be Ideal. • Swap dealer experience strongly...
Compliance Officer
Robert Half Finance & Accounting
- New York, NYbroker-dealer, and its insurance agency. The Compliance Officer will work closely with the ... Bachelors degree 7-10 years experience in broker-dealer and registered investment...
Compliance Officer
Accountemps
- New York, NYindividual to be a critical member of their Compliance team, reporting directly to the ... agency Responsibilities: -ensure the broker-dealer's written supervisory...
Compliance Officer
Streetid
- Chicago, ILa Compliance Manager to assist the Chief Compliance Officer in overseeing and carrying ... adviser, investment company and broker-dealer. Primary responsibilities are...
Ameriprise Financial
- Boston, MAPrograms including: Collaborate with Compliance colleagues to perform Annual ... investment advisor, investment company, and broker dealer regulations and business...
Compliance Analyst
NEWAmerican International Group
- New York City, NYa financial institution such as a broker/dealer, registered investment adviser, ... experience with investment advisory and/or broker/dealer compliance is preferred American...
Compliance Analyst
NEWJohn Hancock
- Boston, MAThe Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... account (PTA) information for non-access broker dealer registered persons including...
Compliance Analyst
NEWManulife
- Boston, MACompliance Analyst-1500564 Description The Wholesale Broker-Dealer Compliance Department ... include: Review and maintenance of broker dealer supervision hierarchy process...
Compliance Analyst
NEWKforce Inc.
- Newark, DEU4/U5 recon) Complaints against Operation (Broker Service Center) RRs are consolidated ... directly, either oral or written with Broker/Dealer, Compliance Advisory, Licensing...
Compliance Analyst
Kforce Inc.
- Newark, DEU4/U5 recon) * Complaints against Operation (Broker Service Center) RRs are consolidated ... directly, either oral or written with Broker/Dealer, Compliance Advisory, Licensing...
Compliance Analyst
AIG Financial Advisors
- New York City, NYand audits for investment advisors, and/or broker/dealer - Assist on special projects ... a financial institution such as a broker/dealer, registered investment adviser,...
Compliance Analyst
Marketcounsel
- Englewood, NJwith investment advisor regulatory compliance, including the Investment Advisers ... Awareness of broker-dealerand/or hedge fund regulation is a plus...
Private Banking Wealth Management Lawyer
NEWMultinational Financial Services Holding Company
- New York City, NYand placement agent activities. The Attorney will also review marketing ... Finally, the Attorney will advise on various broker-dealer related matters for trading...
Counsel - Investment Advisers Act
NEWAmeriprise
- Minneapolis, MNFinancial the largest independent broker-dealer (IBD) in the managed account ... to 10 years of experience as a practicing attorney supporting the financial services...
Attorney Investment Management focused
NEWStaffingforce
- Boston, MAan Investment Management focused Associate Attorney with 4 - 6 years of experience ... funds, private funds, investment advisers, broker dealers, insurance companies and other...
Compliance Examiner - Member Regulation, Membership Application Program
NEWNew York City, NYmembership applications, risk areas of broker-dealers and allegations of wrong-doing ... written and oral reports to broker-dealer executives, consultants/ counsel and...
Managing Counsel Job
NEWBNY Mellon
- New York City, NYManaging Counsel (Job Number: 1501181) BNY Mellon is a global investments company ... trade finance or mutual fund or broker dealer lending experience Cross-border...
Compliance Examiner - Member Regulation, Membership Application Program
NEWFinancial Industry Regulatory Authority
- New York City, NYto broker-dealer executives, consultants/ counsel and FINRA management, including ... with opportunities to interact with broker-dealer and FINRA senior managers. To be...
Counsel for Private Banking and Lending
NEWLeading Global Financial Services Firm
- New York City, NYbroker-dealer. Specific duties will include: - Advising the business on complex transactions and initiatives related to Lending - Coordinating with other attorneys and legal...
Senior Counsel, Contracts and Transactions
NEWPost-trade Financial Services Company
- Jersey City, NJagreements. Engage and manage outside counsel as appropriate in connection with all ... entities such as banking institutions, broker-dealers or FCMs, exchanges or...
FINRA Legal Internship, Office of General Counsel - Appellate Group
NEWFinancial Industry Regulatory Authority
- Washington, DCFINRA Legal Internship, Office of General Counsel - Appellate Group - Washington, DC ... and to authorize theirbroker-dealers to provide FINRA with duplicate statements for all...
Enforcement Counsel - Rockville
NEWFinancial Industry Regulatory Authority (finra)
- Potomac, MDindividual for our Enforcement Counsel opening in Rockville, MD. Job ... the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...
VP & Counsel, M&A Advisory (00922160)
NEWMichael Page International - US
- New York City, NYDetails Investment Bank is seeking a VP & Counsel, M&A Advisory Attorney to Support the ... business of the investment bank and broker-dealer * Engagement letters, NDAs,. Conflicts...
Counsel - Investment Advisers Act
NEWAmeriprise Financial
- Minneapolis, MNFinancial the largest independent broker-dealer (IBD) in the managed account ... or eligible for admission as house counsel.The responsibilities for this position...
Attorney--Investment Management focused
NEWLsj
- Boston, MAan Investment Management focused Associate Attorney with 4 - 6 years of experience ... funds, private funds, investment advisers, broker dealers, insurance companies and other...
Litigation Paralegal
Cetera Financial Group
- New York City, NYResponsibilities 1. Supports deputy general counsel and litigation attorneys in all ... or other non-job-related criteria. About | Broker-Dealer Choices | Press Room | Careers...
Trust and Estates Director
Rosen Seymour Shapss Martin & Company
- New York City, NYapparel, publishing & printing, insurance, broker dealers, solar energy, healthcare, ... lead the staff throughcounsel, guidance and coaching. Evaluate performance on client...
VP & Counsel, M&A Advisory
Michael Page International - US
- New York City, NYbusiness of the investment bank and broker-dealer Engagement letters, NDAs,. Conflicts ... with experience + Bonus potential VP & Counsel, M&A Advisory Attorney focusing on...
Trust and Estates Director
Rosen Seymour Shapss Martin & Company
- New York City, NYapparel, publishing & printing, insurance, broker dealers, solar energy, healthcare, ... lead the staff throughcounsel, guidance and coaching. Evaluate performance on client...
Insurance & Securities Regulatory Attorney (9686)
New York Life Insurance Co
- New York City, NYAssistant General Counsel will provide legal guidance on the following issues: ... on retail insurance, brokerdealer, and/or investment advisory issues. In-depth...
Macquarie Securities Group - Lawyer - Broker Dealer (New York)
Macquarie Group
- New York City, NYa full-service institutional cash equities broker in Australia, Asia, South Africa and ... brokerage legal experience to join the broker-dealer in New York. The role offers...
Attorney
Leading Provider of Insurance, Investments, and Retirement Products
- Los Angeles, CAand negotiate investment advisory, broker-dealer , and other agreements Provide ... reviews for the investment adviser, and broker-dealer and recordkeeper. Assist on...
Enforcement Counsel
Finra
- New York City, NYFINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Associate Attorney--Investment Management
Lsj
- New York City, NYas well as to investment advisers and broker-dealers. -Helping clients launch new ... third-party service provider agreements. -Counsel clients on Compliance rules and...
BlackRock Corporate Counsel (Mutual Funds), Vice President
BlackRock
- New York City, NYand conducting training. Corporate Counsel for U.S. Mutual Funds We are ... Experience in broker-dealer and/or capital markets issues a plus...
Investment Management Associate Senior Associate - Securities
Lewis & Associates
- Washington, DCprivate funds, investment advisers and broker-dealers turn to us for advice on their ... mutual funds, investment advisers and broker-dealers providing investment advisory...
Enforcement Counsel
Finra
- New York City, NYFINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Enforcement Counsel
Intercontinental Exchange
- New York, NYindependent, Enforcement Counsel will have responsibility for investigating, ... in-house litigators at broker-dealers/investment advisers; and member of both the...
Enforcement Counsel
Finra
- New York City, NYFINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... employee) and to authorize their broker-dealers to provide FINRA with duplicate statements...