- Kestra Financial (Hamilton, NJ)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... products, and pricing * Understand and leverage the resources available at the Broker Dealer to the fullest extent * Develop Centers of Influences such as… more
- 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 ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… 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 ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… 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 ... Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary...preferred or equivalent experience in financial services, compliance, or operations . + Minimum of 2 years of experience in… 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, ... DB2, VSAM, and related technologies. + Serve as a subject matter expert in Broker Dealer Post Trade functions, including Regulatory Reporting, Stock Record, and… more
- Deloitte (Princeton, NJ)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive… 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 ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating flagged… 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 ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and operational… 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 ... electronic communications. This role works closely with the supervision, operations , compliance, and risk departments of the US Wealth...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… 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 ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking… more
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