- SMBC (Jersey City, NJ)
- …+ Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a financial ... services firm. + Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting. + Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs. + Excellent written and… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... subsidiaries and affiliates. **Role Objectives** + Provide administrative project support to the Development team, which may involve drafting or combining initial storyboards, collecting and compiling course feedback, and testing course functionality, along… 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 ... instruments, investment vehicles and capabilities, including alternative investments such as real assets, private equity, private credits, etc. + Experience with using data analytics and large language model, as well as champion a culture of innovation +… 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 ... skills, with the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior management **Preferred qualifications, capabilities and skills** + CPA, CIA, and/or… more
- Guardian Life (Trenton, NJ)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to join the Supervision and Controls Team. The role reports to the Head of Supervision and… more
- Santander US (Newark, NJ)
- …defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of investment ... and insurance products including Santander Policy Statement governing the sale of uninsured products. * When appropriate, provide leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. * Attend and… 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 ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… 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 ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more
- TD Bank (Willingboro, NJ)
- …the expertise of other **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 (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to… more