Securities Broker Jobs


302 Securities Broker jobs found on Monster.

Jobs 1 to 20 of 302
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...
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...
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...
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...
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...
AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk management. We have more than 50 branches across the country employing approximately 6,000 financial professionals. AXA Advisors is an equal opportunity employer committed to a workplace that is diverse, inclusive and merit-based. We’re looking for...
MetLife, a leading provider of insurance and other financial services to individual and institutional customers, is seeking a Manager -Compliance in Charlotte, NC! Beyond meaningful and challenging work, MetLife provides a variety of flexible work arrangements, as well as a tuition reimbursement program, competitive benefits, and retirement and pension plans. MetLife’s responsiveness to the needs...
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in New York, NY. To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protec...
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Compliance Examiner opening in New York, NY. To be considered for this position, please submit your resume through our careers site-no phone calls, please. Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protec...
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Finance Career Tools

Securities Broker


$39,420.00 - $187,500.00
Typical Salary for Securities Broker
(74 Respondents)
Source: Careerbenchmarking Tool

Education / Training

Some College Coursework Completed
(62 Respondents)
Source: Careerbenchmarking Tool

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