- 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)
- …Risk Management as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws. CCOR provides independent oversight of ... and skills** + Bachelor's degree required and 3+ years of experience supporting a US broker dealer or front office business within a US broker dealer . +… more
- TD Bank (Mount Laurel, NJ)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- SMBC (Jersey City, NJ)
- …technical regulatory capital issues involving our New York Branch, Bank Holding Company, broker - dealer and other affiliates. This is a hybrid role, with current ... to various stakeholders on issues and questions related to regulatory capital, broker - dealer and capital management, as well as liquidity reports such as the… more
- JPMorgan Chase (Jersey City, NJ)
- …management responsibilities. The ideal candidate will possess deep expertise in Broker Dealer Post Trade functions-including Regulatory Reporting, Stock Record, ... and related technologies. + Serve as a subject matter expert in Broker Dealer Post Trade functions, including Regulatory Reporting, Stock Record, and Statements… 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
- 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 ... as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May… more
- TD Bank (Mount Laurel, NJ)
- …people manager, leading a compliance audit team + Experience auditing securities, broker - dealer and/or wealth compliance + Excellent oral and written ... governing the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance + Advanced functional audit knowledge… 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
- Kestra Financial (Hamilton, NJ)
- …services, products, and pricing * Understand and leverage the resources available at the Broker Dealer to the fullest extent * Develop Centers of Influences such ... in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited… more