- Coinbase (Trenton, NJ)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- JPMorgan Chase (Jersey City, NJ)
- …and ongoing supervisory engagements. You will collaborate with senior leaders across the Broker Dealer , Futures Commission Merchant, Swap Dealer and Security ... financial institution or regulator, consulting or legal firm + Experience in Broker Dealer , FCM, Swap Dealer , Control Management, Compliance, Audit, and/or… more
- ADP (Florham Park, NJ)
- …Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely ... of litigation. + Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary liaison for financial account processing and… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other affiliates. This role will ... technical knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and challenge… more
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset classes… 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 experience at ... an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify… more
- Adecco US, Inc. (Pennington, NJ)
- …in Finance, Economics, or a related field. + Previous experience working for a broker - dealer or directly supporting a financial advisory team. _This position is ... managed by a National Recruitment Team. To be considered, please follow the application instructions provided._ Interested? APPLY NOW for immediate consideration! **Pay Details:** $23.44 per hour Benefit offerings available for our associates include medical,… more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... + CPA + Experience with data analytics, Alteryx and advanced excel functionality JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent… more