- SMBC (Jersey City, NJ)
- …regulators as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of ... The Head of Registrations will report to the Head of Employee Compliance with responsibility to lead the Registrations Program across the Americas Division,… more
- SMBC (Jersey City, NJ)
- …duties as required. **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of ... Activities and Contributions Lead will report to the Head of Employee Compliance with responsibility for oversight of the firm's outside business activities, private… more
- SMBC (Jersey City, NJ)
- …Skills** + Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a ... Energetic, eager to learn new skills, and an interest expand knowledge of compliance topics SMBC's employees participate in a Hybrid workforce model that provides… more
- 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
- JPMorgan Chase (Jersey City, NJ)
- …learning as this role will have a primary focus covering the US Broker - Dealer (s) Compliance program. **Job Responsibilities** + Coordinate periodic reporting ... prepare the annual FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical expertise that supports the design,… more
- ADP (Florham Park, NJ)
- … compliance , or operations. + Minimum of 2 years of experience in a broker - dealer compliance or registration role + Strong familiarity with FINRA ... Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely… 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 ... regulations governing the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance + Advanced functional… 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)
- …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
- TD Bank (Mount Laurel, NJ)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management** + **Prior experience working with ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
