EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog
May 12, 2015
Financial Advisor
NEWBMO
- 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
NEWWat Tu Do
- San Jose, CAFINANCIAL REPRESENTATIVE/ADVISOR: Financial Representative/Advisor: Northwestern Mutual's Financial Representatives develop enduring relationships with clients by providing expert...
Financial Advisor
NEWAIG
- Columbia, SCPosition 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
NEWKendal Capital Insurance
- Hilton Head, SCInsurance 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
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
NEWBank of the West Wealth Management
- Livermore, CACome GROW your career at Bank of the West and BancWest Investment Services. We are a friendly, collaborative, relationship-driven culture that is client service and team oriented...
Financial Advisor
NEWAIG Financial Advisors
- Fairbanks, AKPosition 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
Rehmann
- Naples, 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
American International Group
- Fairbanks, AKPosition 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
Barrow, AKWhy 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
Municipal Credit Union
- New York, NYWe are seeking an uncommon professional to join our team as a Financial Advisor in the Manhattan Borough. Job Responsibilities: Serve Your Clients: 1. Cultivate strong...
Financial Advisor
BB&T
- Charlotte, NCEssential 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
BMO
- 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
BB&T
- Richmond, VAAuto req ID 33541BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Richmond, VA - 901 East Byrd Street Language Fluency English...
Financial Advisor
Investors Bank
- Morganville, NJ## Job Description POSTION OBJECTIVES * Provide sound financial advice to customers by evaluating their financial condition, needs and future goals. * Must keep abreast of...
Financial Advisor
Peoples Bancorp
- Beachwood, OHA full service financial advisor who: actively searches for new clients both within and outside of the Bank's current customer base, meets with prospective clients and recommends...
Financial Advisor
Brightstar Credit Union
- Fort Lauderdale, FLGateway Services Group (BrightStar Credit Union) BrightStar Credit Union is partnering with Gateway Services Group to select a Financial Advisor that will work with our members.
ENTRY LEVEL - Financial Consultant
NEWAXA Advisors
- New York City, NYCompany DescriptionIf you want to unlock your potential as a financial sales rep, apply to join our team at AXA Advisors! AXA Advisors, LLC is one of the most respected and...
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
NEWAXA Advisors
- New YorkCompany 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 Professional (Retirement Benefits Group)
Finding 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...
ES Director of Strategic Relationship Liaison (403b/457)
AXA Advisors
- TennesseeCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
Lead Associate - Debt Management
AXA Advisors
- Syracuse, NYCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
Senior Associate, Customer Service
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...
Regional Managing Controls Officer
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...
Investment Product Sales 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...
Branch Controls (Compliance) Specialist
AXA Advisors
- CaliforniaCompany 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
AXA Advisors
- Birmingham, ALCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
Corporate Compliance - AML Surveillance - Vice President -
NEWJPMorgan Chase
- Jersey City, NJJPMorgan 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...
Asset Management - Private Bank - Investment Specialist - VP - Emerging High Net Worth
NEWJPMorgan Chase
- New York City, NYJ.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
Anticipated Financial Advisor - Chase Wealth Management - Northwest
NEWJPMorgan Chase
- Schererville, INFinancial 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 - Brooklyn, NY (Boro Park)
NEWJPMorgan Chase
- Brooklyn, NYChase 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...
Global Fixed Income Cash Middle Office - Trade Support Associate
NEWJPMorgan Chase
- New York City, NYBusiness Background The Global Fixed Income Securities Cash Middle Office is primarily responsible for the trade management and control of both the standard and non standard...
Supervisory Officer - Chase Wealth Mgmt - Supervision and Sales Mgmt
NEWJPMorgan Chase
- Columbus, OHChase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
Private Client Advisor - Chase Wealth Management
NEWJPMorgan Chase
- Yonkers, NYBusiness 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...
Private Client Advisor - Chase Private Client - New Orleans Area
NEWJPMorgan Chase
- New Orleans, LABusiness 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...
Chase Wealth Management - International Financial Services - Financial Consultant
NEWJPMorgan Chase
- New York City, NYChase 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...
Financial Advisor - Chase Wealth Management -Dallas, Texas Area
NEWJPMorgan Chase
- Dallas, TXFinancial 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 - Sidney, OH (Sidney Main)
NEWJPMorgan Chase
- Sidney, OHChase 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...
Chase Private Client Investment Associate
NEWJPMorgan Chase
- Venice, FLChase 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...
Chase Private Client Investment Associate - Rochester Hills, MI (Walton Adams)
NEWJPMorgan Chase
- Rochester Hills, 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...
Investment Support Associate - Broker Service Center - FINRA Series 7 Required
NEWJPMorgan Chase
- San Antonio, TXChase Investment Services - Investment Support Associate I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted...
Legal- AGC - Chase Wealth Management-ED-NY
NEWJPMorgan Chase
- Chicago, ILJPMorgan 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...
Anticipated Private Client Advisor - Chase Wealth Management - Prescott Valley
NEWJPMorgan Chase
- Phoenix, 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...
Private Client Service Specialist-Sales Support - Chase Wealth Management
JPMorgan 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...
Investment Support Associate - Broker Service Center
JPMorgan Chase
- Chicago, ILChase Investment Services The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and...
Asset Management - Private Bank EHNW Group - Investment Specialist - Vice President
JPMorgan Chase
- Houston, TXJ.P. Morgan Private Bank Investment Specialist Job Description J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments...
Chase Private Client - Private Client Advisor - Las Colinas
JPMorgan Chase
- Irving, TXBusiness 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...
CCB Risk - Chase Wealth Mgmt Fiduciary Risk Executive Director
JPMorgan Chase
- New York City, NYChase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
Asset Management - Private Bank Investment Team Leader
JPMorgan Chase
- Washington, DCJ.P. Morgan Private Bank Washington DC Market Investment Team Leader J.P. Morgan is a global leader in asset and wealth management services. We serve four distinct client groups...
Anticipated Chase Wealth Management - Financial Advisor - Lakeland, FL (Near Orlando and Tampa)
JPMorgan 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...
Corporate Compliance - Compliance Manager - Fixed Income Trade Surveillance - Vice President - Jersey City
JPMorgan 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...
Chase Private Client - Private Client Advisor
JPMorgan Chase
- New York City, NYBusiness 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...
Managing Sales Director II
MetLife
- ArizonaJob Location Tempe, AZ Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director II is to advance the Financial Services Representatives'...
Assistant Operations Manager
MetLife
- CaliforniaJob Location Los Angeles, CA Job Description Provides administrative support to an insurance and financial services sales agency. Functional Responsibilities: Responsible for the...
Chief Compliance Officer
LaSalle Investment Management
- Chicago, ILadvisory businesses and other affiliated broker-dealers operating in the Americas. The ... agreements with investment advisory and broker-dealer clients Provide legal review of...
Chief Compliance Officer
Boutique Investment Management Firm
- Chicago, ILadvisory businesses and other affiliated broker-dealers operating in the Americas. The ... investment advisory andbroker-dealer clients · Provide legal review of and negotiate...
Chief Compliance Officer
LaSalle Investment Management
- Chicago, ILbusiness in the Americas, compliance officer of LaSalle Investment Management's ... agreements with investment advisory and broker-dealer clients Provide legal review of...
Chief Compliance Officer
Boutique Investment Management Firm
- Chicago, ILTo serve as Chief Compliance Officer of Investment Management's direct real estate ... advisory business in the Americas, compliance officer of Investment Management's...
VP Premier Relationship Manager
NEWHSBC
- Fremont, CACompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Global Compliance Officer, Area Compliance Officer or Local Compliance Officer. The...
Compliance Officer
NEWHanson McClain Advisors
- Sacramento, CAregistered representatives on complex broker-dealer / investment adviser issues, FINRA, ... We are a FINRARegistered Broker/Dealer and SEC Registered Investment Advisor providing in...
Director of Legal
NEWArtivest
- New York City, NYPool Operator, and a registered Broker-Dealer. In addition to general corporate ... of feeder fund vehicles Review third party manager/fund legal documentation and...
Institutional Sales Assistant - Term Employment
NEWUnion Bank
- Los Angeles, CAtrades with the UBIS Trading broker dealer (BD) counterparties. Produce the Called Bond ... to MRM Manage fails, rejects and broker-dealer trade discrepancies Daily print out...
Chief Compliance Officer - Broker/Dealer - CCO
NEWNew York City, NYI was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for aFINRA registered Broker Dealer as well as an SEC registered...
Operational Risk Specialist - Global Markets Securities America (GMSA): NYC
NEWBank of America
- New York City, NYOperations Risk, Hedge Fund Broker Dealer or Prime Brokerage team * Ability to ... Reserve rules related tobroker dealer operations * FINRA Series 99 or other...
Wealth Management Compliance Officer
NEWBOK Financial
- Wichita, KSCompliance Officer The Wealth Management Compliance Officer supports overall Wealth ... ManagementCompliance Officer, like all Compliance Department personnel, follows...
Wealth Management Compliance Officer Bank Job
NEWBOK Financial
- Tulsa, OKCompliance Officer The Wealth Management Compliance Officer supports overall Wealth ... ManagementCompliance Officer, like all Compliance Department personnel, follows...
Lead Business Analyst
NEWTiaa-cref | Financial Services®
- Charlotte, NCmonitor the business units' performance with compliance, alert management to compliance ... ideally related to investment advisory, FINRA and broker-dealer compliance Desired...
AML Analyst
NEWAIG Financial Advisors
- Atlanta, GAdirectly to the AML Compliance Officer. Less than 10% travel is required. ... Compliance notices and other publications concerning broker/dealer regulation, and...
Branch Office Examiner
NEWAIG Financial Advisors
- Phoenix, AZdepartment and reports directly to the Compliance Manager. The individual in this ... to Members, Compliancenotices and other publications concerning broker/dealer...
Head of Funds Management Group Risk
NEWWells Fargo
- San Francisco, CAregulators, particularly with the SEC and FINRA Staff Compliance experience in hedge ... with experience in application to investment management and broker dealer...
Chief Compliance Officer - Broker/Dealer - CCO
NEWSelby Jennings Qrf
- New York City, NYI was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for aFINRA registered Broker Dealer as well as an SEC registered...
Vice President, Compliance
NEWSitus
- Houston, TXgovernment and regulatory compliance, with focus on broker-dealer and ... Compliance Officer required • MS Office Suite including Outlook, Excel, Power Point and...
WMA Equities Compliance Officer
NEWPrivate Wealth & Asset Management Firm
- Weehawken, NJEquities Compliance Officer you will support compliance for all legal entities in Wealth ... Requirements - 2-5 years experience in broker dealer compliance with a strong...
Vice President, Compliance (00964137)
Situs
- Houston, TXgovernment and regulatory compliance, with focus on broker-dealer and ... Compliance Officer required • MS Office Suite including Outlook, Excel, Power Point and...
Surveillance Analyst
First Investors
- Edison, NJCorporation ("FIC"), a FINRA member broker dealer and its affiliated retail ... preferably with a FINRA memberbroker dealer or SEC registered investment adviser;...
Surveillance Analyst
First Investors
- Edison, NJCorporation ("FIC"), a FINRA member broker dealer and its affiliated retail ... preferably with a FINRA memberbroker dealer or SEC registered investment adviser;...
Financial Operations Principal - Forex Division
TradeStation
- Plantation, FLOperations. The position will oversee compliance with all financial regulatory ... member (FDM) or retail foreign exchange dealer (RFED) concepts, practices and procedures...
Chief Compliance Officer - Broker/Dealer - CCO
Selby Jennings
- New York City, NYI was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for aFINRA registered Broker Dealer as well as an SEC registered...
COMPLIANCE OFFICER I, II, III
BBVA Compass
- Birmingham, ALto securities, investments and broker-dealer activities pertaining to risk ... tracking. **Specific Responsibilities** **Compliance Reviews:** * Ensures reviews are...
Chief Compliance Officer
LaSalle Investment Management
- Chicago, ILbusiness in the Americas, compliance officer of LaSalle Investment Management's ... agreements with investment advisory and broker-dealer clients Provide legal review of...
COMPLIANCE OFFICER II - III (Testing -Volker Rule)
BBVA Compass
- Birmingham, ALto securities, investments and broker-dealer activities pertaining to risk ... institutional investment activities; for acompliance officer III five or more years of...
Intelligence Compliance Officer
Leading Provider of Insurance, Investments, and Retirement Products
- Saint Petersburg, FLProcedures in accordance with FINRA Rule 3130. Assist RIA Compliance in ... working for a broker/dealer compliance and/or legal department Financial...
Hearing Officer, Office of the Hearing Officer
Financial Industry Regulatory Authority (finra)
- Washington, DCpanelists on issues of law and procedure, compliance with FINRA Sanction Guidelines, ... the employee) and to authorize their broker-dealers to provide FINRA with duplicate...
Counsel - Investment Adviser's Act
NEWLeading Financial Planning and Services Company
- New York City, NYMinnesota or eligible for admission as house counsel. Preferred Qualifications ... Participation/experience on industry committees (such as SIFMA, NASAA, FINRA or...
Senior Enforcement Counsel
NEWIntercontinental Exchange
- New York, NYto end; Coordinating with FINRA to transition enforcement responsibilities back to NYSE ... Senior EnforcementCounsel will have responsibility for investigating,...
Scottrade
- St Louis, MOhas an Associate General Counsel (Securities/Regulatory) position available in St ... Industry Regulatory Authority (FINRA) rules. ERISA experience is preferred.
Legal- AGC - Chase Wealth Management-ED-NY
NEWJPMorgan Chase
- Chicago, ILAct, state insurance laws and FINRA regulations. Specific experience with fee-based discretionary programs, including unified managed accounts, is preferable. Confidence and...
Counsel - Investment Adviser's Act
NEWLeading Financial Planning and Services Company
- Minneapolis, MNMinnesota or eligible for admission as house counsel. Preferred Qualifications ... industry committees (such as SIFMA, NASAA, FINRA or others); Financial Services,...
Senior Counsel, Equity Capital Markets & M&A
NEWMichael Page International - US
- Manhattan, NYIt also involves managing outside counsel, and where necessary, coordinating ... compliance professionals. Profile The Senior Counsel, Equity Capital Markets & M&A...
Mid-level Corporate Attorney with joint ventures experience
BCG Attorney Search
- Orlando, FLof the Financial Industry Authority (FINRA). Existing book of business would be a plus. Must be a member of the Florida Bar. "This medium-sized firm with headquarters in Orlando...
In-House Counsel Jobs-Jdhuntr-14532 Counsel, Investment
Other
- El Segundo, CAIn-House Counsel Jobs-Jdhuntr-14532 Counsel, Investment, El Segundo, CA The successful ... jobs, lawyer jobs, attorney jobs, general counsel jobs, JDHUNTR, litigation, corporate...
Deputy Regional Chief Counsel, Enforcement
Financial Industry Regulatory Authority
- San Francisco, CAdirectly to the FINRA Careers site, enterwww.finra.org/careersinto your browser to reach ... qualified protected veterans. 2015 FINRA. All rights reserved. FINRA is a...
Ameriprise Financial
- Minneapolis, MNMinnesota or eligible for admission as house counsel. Preferred ... industry committees (such as SIFMA, NASAA,FINRA or others);License(s) RequiredNoneAbout...
Scottrade
- St Louis, MOAssociate General Counsel (Securities/Regulatory) - St ... has an Associate General Counsel(Securities/Regulatory) position available inSt...
Senior Counsel, Equity Capital Markets & M&A (00933786)
Michael Page International - US
- Manhattan, NYIt also involves managing outside counsel, and where necessary, coordinating ... compliance professionals. Profile The Senior Counsel, Equity Capital Markets & M&A...
Paralegal
Winter Park Resort
- Denver, COassistance and support in all facets of SEC, FINRA and NYSE compliance Support in the ... with internal and external litigation counsel in responding to discovery requests.
Corporate Attorney--Fund Formation
Lsj
- New York City, NYSeed and strategic investor transactions -Fiduciary obligations and side letters -Draft compensation agreements -Compliance rules and regulations of SEC, FINRA and other...
Counsel
Leading Financial Services Firm
- El Segundo, CAattorneys • Interact with outside counsel under supervision of more experienced ... as in-house counsel in California upon hire, is also required. Regulatory...
AVP & Counsel (Distribution)
Leading Insurance Company
- Springfield, MA• Providing legal support for FINRA, SEC and state regulatory examinations. • ... • Managing outside counsel • Participating in internal investigations, as needed •...