Securities Broker Jobs

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23 Securities Broker jobs found on Monster.

Jobs 1 to 20 of 23
We are currently seeking outgoing, motivated individuals for a full-time fixed income sales position in St. Petersburg, 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 conver...
Since 1928, people have been trusting Farmers to provide them with the coverage they want so they can have the peace of mind that comes from knowing that their futures and their families are covered against risk. A variety of strong, customer-tailored insurance products has made Farmers one of the nation's leading Property/Casualty, Life and Business insurers. Farmers Financial Solutions, LLC , Fa...
A top tier, market leading investment bank has an urgent requirement for a highly skilled business analyst, with experience in OTC derivatives, to join their regulatory business area. Your primary duties will include: This individual should have knowledge and a broad background in evaluating internal controls (i.e., background in audit, operational risk, compliance). We would like someone who h...
Since 1928, people have been trusting Farmers to provide them with the coverage they want so they can have the peace of mind that comes from knowing that their futures and their families are covered against risk. Farmers Insurance Group of Companies ®includes the country's third-largest Personal Lines Property and Casualty insurance group. We currently operate in 29 states with assets over $20 bil...
Share Financial Services is currently recruiting for a call center representative. Share Financial Services is a 44 year old privately held securities broker/dealer that provides long term capital financing for churches across America. Candidates must be comfortable talking with pastors, church business administrators and church personnel and marketing our financing services to them. The job is ...
Job Description: A leading securities Broker-Dealer and SEC Registered Investment Advisory is seeking a Branch Examiner. The position is responsible for conducting announced and unannounced on-site inspections of assigned branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure compliance with al...
Line of Business: Compliance Group Job Category: Professionals Primary Purpose: Be a subject matter expert and risk manager, responsible for managing and supervising compliance risks related to BSA/AML and OFAC. Perform as a key officer within the compliance organization, providing staff management, subject matter expertise, regulatory interpretation, and enterprise risk analysis to the Group M...
JP Morgan NY
140056833 J.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With %2418 trillion of assets under custody and %24393 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, m...
State of North Carolina Raleigh, NC, 27611
Description of Work Benefits Supplemental Questions "THIS IS AN INTERNAL POSTING OPEN TO CURRENT SECRETARY OF STATE EMPLOYEES ONLY." This position’s primary responsibility is the auditing of investment adviser and securities broker/dealer firms in North Carolina. Compliance with the provisions of North Carolina’s Investment Adviser Act and Securities Act and their associated regulations will be...
State of Florida Orlando, FL, 32801
*****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY***** POSITION #: 43004673 POSITION TITLE: FINANCIAL EXAMINER/ANALYST II DIVISION: OFFICE OF FINANCIAL REGULATIONBUREAU: SECURITIES - ENFORCEMENT CITY: ORLANDO COUNTY: ORANGE SPECIAL NOTES: We anticipate filling two positions from this advertisement. A bachelor's degree or higher from an accredited college or university is required. Preference wil...
State of Florida Tallahassee, FL, 32301
****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY***** POSITION #: 43004656 POSITION TITLE: FINANCIAL SPECIALIST DIVISION: OFFICE OF FINANCIAL REGULATIONBUREAU: SECURITIES ENFORCEMENT CITY: TALLAHASSEE COUNTY: LEON SPECIAL NOTES: A Bachelor’s degree or higher from an accredited college or university is required. Preference will be given to applicants with a major in accounting, finance, business ad...
State of Florida Tallahassee, FL, 32301
*****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY***** POSITION #: 43004857 POSITION TITLE: FINANCIAL EXAMINER/ANALYST IIDIVISION: OFFICE OF FINANCIAL REGULATIONBUREAU: SECURITIES - ENFORCEMENT CITY: TALLAHASSEE COUNTY: LEON SPECIAL NOTES: A Bachelor's degree or higher from an accredited college or university is required. Preference will be given to applicants with bachelor's degree or higher fro...
Celerity Systems, Inc. Rockville, MD, 20850
Senior Business Analysts Enterprise Solutions, Celerity IT, LLC: Headquarters - McLean VA; current worksite: 9513 Key West Ave, Rockville, MD : Will perform requirements analysis and documentation to enhance applications and perform lifecycle project work on assigned applications. Duties include: analysis of complex Case Management Workflow Systems including tracking of Investigations, Audits (Exa...
Principal Financial Group , Inc. Milwaukee, IA
Responsibilities: Principal Financial Group is seeking a Regional Compliance Director to join our team! In this position you will provide oversight of Supervising Registered Representatives and members of the company's various distribution systems within the region, covered by the Officer of Supervisory Jurisdiction (OSJ) to which the Regional Compliance Director is assigned, to ensure proper su...
Since 1928, people have been trusting Farmers to provide them with the coverage they want so they can have the peace of mind that comes from knowing that their futures and their families are covered against risk. Farmers Insurance Group of Companies ®includes the country's third-largest Personal Lines Property and Casualty insurance group. We currently operate in 29 states with assets over $20 bil...
State of Florida Tampa, FL, 33602
*****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY***** POSITION #: 43004803 POSITION TITLE: FINANCIAL EXAMINER/ANALYST II DIVISION: OFFICE OF FINANCIAL REGULATIONBUREAU: SECURITIES - ENFORCEMENT CITY: TAMPA COUNTY: HILLSBOROUGH SPECIAL NOTES: A Bachelor's degree or higher from an accredited college or university is required. Preference will be given to applicants with Bachelor's degree or higher f...
Responsibilities The Associate of Internal Control CIB USA role will be responsible for the Internal Control and Operational Risk functions for the Global Markets (Front, Middle and Back office functions) for BBVA entities: BBVA S.A., BBVA Compass and BBVA Securities. The Associate will be responsible for the technical implementation of the Operational Risk Methodology and will report and provide...
CUSO Financial Services, L.P. San Diego, CA, 92140
Division CUSO Financial Services, L.P. Position OSJ Branch Supervisor Location CFS and SPF Home Office - San Diego, CA Full-Time/Part-Time Full-Time Description Join a Successful and Winning Team! CUSO Financial Services, L.P. (CFS) and Sorrento Pacific Financial, LLC. (SPF) are growing securities broker/dealers located in Scripps Ranch and are looking for an Office of Supervisory Jurisd...
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landsc...
Principal Financial Group Detroit, MI, 48222
Principal Financial Group is seeking a Regional Compliance Director to join our team! In this position you will provide oversight of Supervising Registered Representatives and members of the company's various distribution systems within the region, covered by the Officer of Supervisory Jurisdiction (OSJ) to which the Regional Compliance Director is assigned, to ensure proper supervision and compli...

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Finance Career Tools

Securities Broker

Salaries

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

Education / Training

Bachelor's
69.4%
Some College Coursework Completed
11.3%
Master's
8.1%
Associates
3.2%
Doctorate
3.2%
(62 Respondents)
Source: Monster.com Careerbenchmarking Tool

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