- Coinbase (Trenton, NJ)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * 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 (Marlton, NJ)
- …to obtain additional licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services… 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 ... notices of litigation. + Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary liaison for financial account… more
- TD Bank (Marlton, NJ)
- …+ 3+ years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or...May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards… more
- TD Bank (Ramsey, NJ)
- …+ 5+ years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic...May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards… more
- TD Bank (Mount Laurel, NJ)
- …+ **Experience reviewing and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + ** FINRA Series 7, 63 and 24 preferred.** ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards… 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 ...previous work with major financial services regulators (eg, SEC, FINRA , MSRB, FRB, OCC) or industry utilities (eg, NSCC,… more
- JPMorgan Chase (Jersey City, NJ)
- …all control and educational requirements. **Required qualifications, capabilities, and skills** + Broker Dealer Operations experience of or similar ... ensure project success. As a Prime Brokerage Margin-Client Service Operations Associate within JPMorgan Chase, you will play a...qualifications, capabilities, and skills** + Knowledge of Reg T, FINRA Rule 4210, SEC Rule 15c3-1 and SEC Rule… more
- Deloitte (Princeton, NJ)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Our Enterprise Operations & Risk offering enables clients to achieve...previous work with major financial services regulators (eg, SEC, FINRA , CFTC, OCC, FCA, DOJ, FRB) Candidates joining our… more
- JPMorgan Chase (Cherry Hill, NJ)
- …services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are made ... role acts as a bridge between business development, sales, product, and operations teams, driving project delivery and supporting field adoption to achieve growth… more