Securities Broker Jobs
We are currently seeking outgoing, motivated individuals for a full-time fixed income sales position in Clearwater, FL. Candidate must be goal oriented, confident and display strong interpersonal and communication skills. Other requirements include: Extensive Sales Experience Series 7, 6, 52 and 63 preferred, but not required Demonstrate assertiveness and persuasiveness Exceptional conversation sk...
We are a 30 year old full service investment banking firm with locations in Midtown and New York City's Financial District. We focus on providing corporate, institutional & private clients with independent advice, execution, and opportunities. We have recently begun an initiative to expand our New York City team with quality, Financial Advisors ,Stock Brokers, and Trainees. The Trainee Program is...
Packerland Brokerage Services, Inc., a nationally recognized Broker Dealer and Registered Investment Advisor headquartered in Green Bay, Wisconsin, is seeking a qualified candidate to process trades on our Brokerage Operations trading desk, approve new accounts, and to provide sales support to our representative sales force. A successful candidate will possess a high level of initiative, professio...
Position Responsibilities The Collateral Management/SSF Sales team is responsible for new sales, account management and renewals of multiple product lines and dedicated to achieving significant revenue growth year-over-year. This position will support a North American sales organization of 8+ professionals by assisting in discovery calls, meeting/material preparation, and market segmentation/analy...
SECURITIES SALES TRAINING PROGRAM Enclave Financial Group is a full service, fully independent, wealth management and alternative asset platform for high net worth investors and wealthy families globally. Each of the founders of Enclave Financial Group has over 25 years of experience on Wall Street and a record of building successful comprehensive training and education programs at several top tie...
Compliance Officer - Securities Major broker-dealer and clearing firm located in New York City is currently seeking a qualified individual for their expanding compliance department. Responsibilities: Research and respond to regulatory inquiries and exchange requests Point person for equities and options trading desks on regulatory matters Manage exchange, regulatory and internal audit reviews Cond...
Company Confidential Denver, CO, 80237
Securities Compliance Consultant Well-established Regulatory Compliance Consulting firm located in the Denver Tech Center seeks an experienced Securities Compliance Consultant to provide support to broker/dealer, investment adviser and fund clients. The ideal candidate will have a minimum of 3 years work experience in the securities industry and, in particular, experience with FINRA/SEC rules and...
RESPONSIBILITIES: Our client, a Leading Global Financial Services Firm in New York, NY seeks a Business Manager to join their Broker Dealer team. Job Scope: The BD team ensures the overall proper operational management and supervision of the entity. Day to day challenges span the entire organization and multi-discipline experience, in a broker/dealer environment, is helpful, as initiatives may inv...
Regional Broker Dealer located throughout the East Coast has openings in operations in our Reston , VA office. Fixed Income P & S experience required, order entry, cashiering, and various other operations duties. 1 – 4 years experience necessary. Familiarity w/ the Pershing system and Series 7 preferred. Hours 8:30 am – 5:00 pm. *****...
Rapidly growing prestigious Wall Street Firm seeking established brokers and broker trainees. Openings in: Lower Manhattan, NYC Huntington, Long Island Over 70 offices in U.S. Established in 1947 Must be Motivated, Goal Oriented, and Confident with Strong Communication Skills. Comprehensive Paid Training Bonuses and Incentives Series 7, 63, and other Securities License Sponsorship Generous Pay Out...
Company Confidential New York City, NY, 10005
Recent college graduates for stock trainee positions. We are looking for driven individuals to grow quickly and transition into a highly lucrative broker position. WE will train, sponsor, and provide all necessary study material to acquire your 7 & 63 and work on a team with seasoned veteran professionals. WE provide everything and you must be able to sell over that phone. Job Purpose: Meets clien...
Our financial service client is looking for a Controller for their broker /dealer practice. Qualified candidates should posses the following: Job Summary: Experienced Financial Controller managing all aspects of the monthly close, financial reporting, audits and financial reporting controls for a Prime Brokerage broker/dealer. Strong background for IFRS and U.S. GAAP reporting including strong bro...
Company Confidential New York City, NY, 10018
Broker Dealer Compliance Officer Provide high level support to Chief Compliance Officer and directly to Firm Senior Management on all compliance matters, including capital markets and investment banking transactions, day-to-day compliance functions, compliance projects, product and services development, and regulatory examinations, inquiries and internal and external audits. Primary responsibility...
Position Description This position is responsible for developing and promoting recruiting programs to hire new branch managers as well as new representatives for existing offices. Manages all aspects of recruiting registered representatives to the firm as well manage the daily operations of the Royal Alliance recruiting department. Will be responsible for planning strategies, advertising and other...
Wall Street firm seeking Stock Brokers who are highly motivated with an extremely outgoing and aggressive personality, training provided. Opportunity to work with seasoned professionals or independently. Series 7 & 63 required. Job Purpose: Meets client's investment needs by managing investment portfolios. Duties: * Identifies current and future client service requirements by establishing personal...
Elite Investment Bank with Domestic+Global presence has an excellent job opportunity for professional candidates who are looking to advance their careers to the next level. Interact with Compliance, Sales, IT, Trading, and Operations. Job Responsibilities: Provide support and guidance to Prime Brokerage personnel regarding the operating model used to provide margin capabilities to clients. Documen...
We’re looking for seasoned FINRA licensed professionals to join our team. Opportunities for growth are exponential! MUST HAVE EXPERIENCE. Requirements: · 4-year degree in related field preferred · At least 3 years of experience · Series 7 & 63 licenses · Highly developed and exceptional communication skills · Resourceful team player who excels at building relationships · Goal-driven and assertive...
SWS Group, Inc. (NYSE-SWS) is a Dallas-based, full-service securities and banking firm that delivers a broad range of investment and related financial services through its subsidiaries: Southwest Securities Inc., Southwest Securities FSB, SWS Financial Services Inc., and Southwest Insurance Agency. Clients of the company include individual and institutional investors, broker/dealers, corporations,...
For more than 80 years, SchoolsFirst Federal Credit Union has remained rooted in the philosophy of “people helping people.” Today, SchoolsFirst FCU is the nation’s largest educational credit union, with more than 600,000 Members, $9.8 billion in assets, and over 40 service locations in Southern California. Originally based in Orange County, the credit union now operates in 10 counties throughout S...
Description: This position will be responsible for reviewing and submitting all critical FINRA filings for the Broker-Dealer, Pruco Securities and supporting the Alert Tracking and Regulatory Inquiry functions. Specifically, the individual will be responsible for the following: Ensuring that all FINRA Rule 4530 reporting requirements are consistently met for Pruco Securities Summarizing, gathering...
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$39,420.00 - $187,500.00
Typical Salary for Securities Broker
Source: Monster.com Careerbenchmarking Tool
Education / Training
Some College Coursework Completed
Source: Monster.com Careerbenchmarking Tool
Meets client's investment needs by managing investment portfolios.
Rate of Growth
Size of Industry in 2006:
Source: Bureau of Labor Statistics, May 2006
Determines timing of transactions by analyzing market conditions and trends.
Develops financial plans based on analysis of clients' financial status, and discusses financial options with clients.
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