- Coinbase (Trenton, NJ)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- TD Bank (Mount Laurel, NJ)
- …Banking.** **As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with ... + **Participate in other initiatives as needed** **Job Summary:** The ** Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence… more
- Guardian Life (Trenton, NJ)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- TD Bank (Mount Laurel, NJ)
- …and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team. This is your opportunity to play a crucial role in enhancing our… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... We are on the lookout for a talented Audit Manager to join our Connected Commerce & Consumer & Community Bank Strategy - Internal Audit team. This is your… more
- City National Bank (Jersey City, NJ)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... *SR. AUDIT MANAGER - TREASURY/FINANCE* WHAT IS THE OPPORTUNITY? Responsible for...information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program… more
- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (Marlton, NJ)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements. **Depth & Scope:** + Collaborates with the manager… more
- TD Bank (Ramsey, NJ)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more