- 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
- 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)
- …of TD Private Client Wealth, LLC. TD Bank's Registered Investment Advisor and Broker Dealer . **Depth & Scope:** + Provides people management leadership by ... and oversight of all regulated activities (SEC, FINRA) + President of US Broker - Dealer (Series 24) overseeing the securities business activities of all RIA and… 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 (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 ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more