- 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
- TD Bank (Mount Laurel, NJ)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior… more
- Deloitte (Jersey City, NJ)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Experience working AML technology platforms. + Experience with data analytics tools and engineering skills using Informatica, Kafka, Snowflake, Hadoop + Experience with techniques and algorithms to include sampling, optimization, logistic regression, cluster… more
- Wells Fargo (Deptford, NJ)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information… more
- Wells Fargo (Oakhurst, NJ)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + This position is not eligible for Visa sponsorship. **Posting Location:** 1600 Highway 35, Oakhurst, NJ 07755 **Pay Range** Reflected is the base pay range… more
- US Tech Solutions (Newark, NJ)
- …systems + Must have experience with DTC Corp Actions processing functions and broker dealer operations + Knowledge of BPS settlement systems is preferred ... but not required + Strong verbal and written communication skills + Ability to multitask and take ownership of complex issues, as well as achieve deadlines and be able to work effectively as part of a team + Experience using Microsoft Office (Excel, Outlook,… more
- JPMorgan Chase (Tenafly, NJ)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- CGI Technologies and Solutions, Inc. (Jersey City, NJ)
- …role:** . 10+ years' experience in the capital markets financial industry (Bank/FBO/ Broker Dealer ). . Extensive experience with Adenza/Axiom Controller View ... (Nasdaq) . Understanding various industry solutions for preparing regulatory reports like automating SEC and FINRA regulatory reports. . Strong understanding of CCAR capital planning requirements. . Familiarity with stress testing methodologies and regulatory… 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 ... including network, databases, operating systems, information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program to ensure processes are adequately designed and functioning… more
- SMBC (Jersey City, NJ)
- …as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of managing ... a Registrations team. + Understanding of industry best practices to allow for benchmarking. + Deep knowledge of relevant FINRA, SEC, CFTC, NFA Rules and Regulations. + Active FINRA licenses is a plus. + Knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and… more