BrokeAndBroker.com Jobs
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Featured Job Postings from the Web
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| Jan 27 | Financial Specialist Team Manager-Greater | PNC | Atlanta, GA |
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* FINRA Series 7, 66 (or 63 & 65), 24 (or 9 & 10), and State Life/Health licenses are required. * Minimum of 3-5 years of demonstrated experience in the brokerage industry is... more |
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| Jan 26 | Regulatory Analyst, Regulatory Programs | Finra | Washington, DC |
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or emerging regulatory issues in support of FINRA's National Examination ... and communicates effectively with other FINRA personnel, self-regulatory... more |
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| Jan 26 | Financial Advisor Associate - Austin, TX (Northcross) | JPMorgan Chase | Austin, TX |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... FINRA Series 7 and 63 licensing required in addition to meeting FINRA continuing education... more |
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| Jan 26 | Financial Advisor Associate - Radio City | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... FINRA Series 7 and 63 licensing required in addition to meeting FINRA continuing education... more |
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| Jan 26 | Investment Advisor-IRC18048 | Touchstone Energy | Arlington, VA |
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individuals on financial planning issueso FINRA Series 6 or 7 licenseo FINRA Series 63 and 65 (or 66) licenseso Undergraduate degree, preferably in business, finance, accounting... more |
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| Jan 25 | Financial Advisor Associate - Frederick Douglass and 119th St | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... FINRA Series 7 and 63 licensing required in addition to meeting FINRA continuing education... more |
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| Jan 25 | Licensed Financial Sales Consultant - Fox Run | PNC | Naperville, IL |
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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 |
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| Jan 25 | Licensed Financial Sales Consultant - Naperville Crossings | PNC | Naperville, IL |
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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 |
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| Jan 24 | Licensed Financial Sales Consultant | PNC | Arlington, VA |
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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 |
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| Jan 24 | MLI Wholesaler - Life / EJ | MetLife | Portland, OR |
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ing decisions at the point-of-sale Proven ability to think strategically and identify sales opportunities Life, Accident and Health and state life license(s) and FINRA Series 6... more |
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| Jan 23 | Enterprise Architect | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| Jan 21 | Investment Banking Intern | Duff & Phelps | Los Angeles, CA |
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long hours and on weekends * Eligibility for FINRA Series 79 & 63 certification In order to be considered for a position at Duff & Phelps, you must formally apply via... more |
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| Jan 20 | 401k Sales Hunter - Major Accounts Job | ADP | Pittsburgh, PA |
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and close business. Required licensing: FINRA Series 6 and 63. - Strong organization, planning, and interpersonal skills. Ability to work in a team environment. - Possess strong... more |
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| Jan 19 | Financial Advisor Associate - Munsey Park | JPMorgan Chase | Manhasset, NY |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... 63 licensing required in addition to meeting FINRA continuing education requirements and... more |
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| Jan 19 | Financial Advisor Associate - Avenue U at Bedford | JPMorgan Chase | Brooklyn, NY |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... 63 licensing required in addition to meeting FINRA continuing education requirements and... more |
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| Jan 19 | Financial Advisor Associate - Park Slope | JPMorgan Chase | Brooklyn, NY |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... 63 licensing required in addition to meeting FINRA continuing education requirements and... more |
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| Jan 19 | Financial Advisor Associate - Arden Heights | JPMorgan Chase | Staten Island, NY |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... 63 licensing required in addition to meeting FINRA continuing education requirements and... more |
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| Jan 19 | Financial Advisor Associate - Forest Hills 108th | JPMorgan Chase | Forest Hills, NY |
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requirements and guidelines associated with FINRA, SEC, CISC and JPMorgan Chase. You will ... 63 licensing required in addition to meeting FINRA continuing education requirements and... more |
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| Jan 19 | Business analyst with microfocus cobol | Icrux | New York, NY |
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Knowledge of CPI software is required FINRA KYC regulations, TAX, SWEEP, E-delivery, LDAP processing are a must Knowledge of SQL, MS Excel, PowerPoint is a must SQL data base is a... more |
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| Jan 18 | Trade and Processing Specialist (BSA) | UBS | Menlo Park, CA |
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Experience with New Accounts processes FINRA: Series 7 and 66 Strong understanding of regulations pertaining to new accounts for NRAs, Patriot Act, KYC, AML Excellent verbal and... more |
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| Jan 17 | IT Auditor III/ IT Audit Project Lead | Finra - 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 ... and Affirmative Action Employer *2011 FINRA. All rights reserved. FINRA is a... more |
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| Jan 17 | Regulatory and Registration Compliance Analyst | Compliance Search Group | New York, NY |
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FINRA rules regarding registration (e.g., FINRA registration form submissions, ... *Maintain contact sheets and other FINRA administrative information. *Evaluate,... more |
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| Jan 17 | REGIONAL SALES MANAGER | PNC | Charlotte, NC |
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certifications for this position include the FINRA Series 7, 66 or (63 & 65) and any of these combinations: FINRA Series (4,24,53) or (9,10) or (8). Candidates should already... more |
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| Jan 17 | Compliance Analyst, Broker Dealer and Registered Invest | Compliance Search Group | Montpelier, VT |
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Summary: The firm, a FINRA/SIPC member, is a broker-dealer and registered investment advis ... Compliance experience and knowledge of FINRA, SEC and individual state securities... more |
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| Jan 17 | Attorney | Law Firm | New York, NY |
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management, broker-dealer regulations, FINRA compliance and mergers & acquisitions, ... A strong interest in learning more about FINRA and investment management is preferred. more |
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