BrokeAndBroker.com Jobs
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Featured Job Postings from the Web
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| May 21 | Compliance Coordinator (FINRA 7 and 24 required) | MetLife | Fort Lauderdale, FL |
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MetLife, a leading provider of insurance and other financial services to individual and institutional customers, is seeking a Compliance Coordinator (FINRA 7 and 24 required) in... more |
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| May 21 | Chase Private Client Banker - Mercer Island, WA - (FINRA Licenses Required - 6, 63, WA Life & Health | Chase | Mercer Island, WA |
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The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more |
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| May 20 | FINRA Compliance Officer | Sicor Securities | Dayton, OH |
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Sicor Securities, Inc. is searching for a Compliance Officer who will have the general responsibility of monitoring the daily activities of this broker-dealer firm and assist with... more |
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| May 15 | BA / PMO with Series 99 Certification(This is related to FINRA) | Sunit Tech | New York, NY |
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Hello Professional, Please find the below direct client requirement and let me know your thoughts. Share updated profile to Position: BA / PMO with Series 99 Certification(This is... more |
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| May 13 | Chase Private Client Banker - (FINRA Licenses Required | Chase | Washington |
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The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more |
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| May 12 | Chase Private Client Banker - Mercer Island, WA - (FINRA Licenses Required - 6, 63, WA Life & Health | JPMorgan Chase | Mercer Island, WA |
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Title: Chase Private Client Banker - Mercer Island, WA - (FINRA Licenses Required - 6, 63, WA Life & Health REQUIRED) Location: US-WA-Mercer Island-WM1151 Mercer Island / 42115... more |
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| May 11 | Chase Private Client Banker - Mercer Island, WA - (FINRA Licenses Required - 6, 63, WA Life & Health REQUIRED) | Chase | Mercer Island, WA |
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The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more |
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| May 09 | Chase Private Client Banker - Lake Forest Park - Seattle, WA (FINRA Licenses Required - 6, 63, WA Life & Health REQUIRED) | Chase | Seattle, WA |
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The Private Client Banker is responsible for managing full-service banking relationships while delivering a superior service experience to a portfolio of affluent clientele. As... more |
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| May 08 | Regulatory Coordinator, Member Regulation, Sales Practice | Finra | Boca Raton, FL |
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We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in Boca Raton, FL . To be considered for this... more |
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| May 08 | Compliance Examiner, Member Regulation, Sales Practice | Finra | Boca Raton, FL |
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We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for a Compliance Examiner opening in Boca Raton, FL . To be considered for this position,... more |
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| May 08 | Regulatory Coordinator, Member Regulation | Finra | Smithville, MO |
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We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in our Kansas City, MO office. To be considered... more |
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| May 03 | Director, Web Services | Finra | Washington, DC |
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We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Director of Web Services opening in Washington, DC . To be considered for this... more |
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| May 02 | Regulatory Coordinator - Member Regulation, Sales Practice | Finra | New York, NY |
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We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in New York, NY . To be considered for this... more |
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| May 02 | Financial Operations Examiner - Member Regulation, ROOR - New York, NY( Job Number: 002477) | Finra | New York, NY |
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Conducts on-site examinations and assesses Floor member and member organization's financial and operational condition and compliance with securities rules and regulations. more |
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| Apr 30 | Financial Operations Examiner - Member Regulation, ROOR | Finra | New York, NY |
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We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY . To be considered for this... more |
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| Apr 29 | Compliance Examiner - Member Regulation, Sales Practice | Finra | Woodbridge, NJ |
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We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in Woodbridge, NJ . To be considered for this... more |
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| Apr 28 | Investment Services Customer Service Rep (FINRA Series 7 & 63) - Consumer Banking - - San Antonio, | JPMorgan Chase | San Antonio, TX |
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Title: Investment Services Customer Service Rep (FINRA Series 7 & 63) - Consumer Banking - - San Antonio, TX Location: US-TX-San Antonio-WM2198 Stone Oak Bldg A / 42808 Job... more |
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| Apr 19 | Relationship Banker- Rolling Hills Estates - Rolling Hills, CA (FINRA Licenses Required - 6,63 Life | JPMorgan Chase | Rolling Hills Estates, CA |
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Title: Relationship Banker- Rolling Hills Estates - Rolling Hills, CA (FINRA Licenses Required - 6,63 Life & Health) Location: US-CA-Rolling Hills Estates-WM2748 Rolling Hills /... more |
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| Apr 19 | Chase Private Client Banker - Broadway E. - Seattle, WA - (FINRA Licenses Required - 6, 63, WA Life | JPMorgan Chase | Seattle, WA |
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Title: Chase Private Client Banker - Broadway E. - Seattle, WA - (FINRA Licenses Required - 6, 63, WA Life & Health REQUIRED) Location: US-WA-Seattle-WM1073 Broadway Seattle /... more |
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| Apr 07 | Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required | JPMorgan Chase | Chicago, IL |
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Title: Investment Customer Service Rep I - Broker Service Center - FINRA Series 7 Required - Chicago, IL Location: US-IL-Chicago-300 South Riverside / 10574 Job Number: 130023239... more |
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| Apr 06 | FINRA Legal Extern, Enforcement (UNPAID) | Financial Industry Regulatory Authority | Jericho, NY |
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Title: FINRA Legal Extern, Enforcement (UNPAID) - Jericho, NY Location: null Other Locations: null We Work to Protect Investors. Join our Team. FINRA is seeking well qualified... more |
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| Mar 26 | FINRA Extern - (unpaid) Ombudsman | Financial Industry Regulatory Authority | Rockville, MD |
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Title: FINRA Extern - (unpaid) Ombudsman - Rockville, MD Location: null Other Locations: null We Work to Protect Investors. Join our Team. The Financial Industry Regulatory... more |
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| Mar 26 | Advisor Services Relationship Manager - Series 6 FINRA License | Volt Workforce Solutions | Phoenix, AZ |
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Advisor Services Relationship Manager - Series 6 FINRA License Posted on:03/21/13 Job Number: 304083-9438-1-323274 ? Add to Cart ? Email to a Friend Location: Phoenix, AZ... more |
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| Mar 18 | Regulatory Analyst - Market Regulation, Trading Analysis | Finra | Rockville, MD |
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We are seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, Md. Job Summary: The Regulatory Analyst conducts routine review and investigations of... more |
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| Mar 02 | FINRA Compliance Analyst | Paychex | New York, NY |
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Title: FINRA Compliance Analyst Location: New York-New York With headquarters in Rochester, NY, Paychex, Inc. has more than 100 offices and serves approximately 554,000 payroll... more |
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