- 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 Principal Review 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
- TD Bank (Mount Laurel, NJ)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...competing priorities.** + **Proficiency with Microsoft Office applications.** + ** FINRA license Series 7, 63 &24** + **Life and… more
- SMBC (Jersey City, NJ)
- …Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking operations ; US and LATAM representative ... various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how...either US banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations (SEC, CFTC, FINRA , NFA) and… more
- City National Bank (Jersey City, NJ)
- …* Minimum 3 years' experience with Microsoft program. * Knowledge of FINRA / Broker - Dealer compliance issues, specifically Form U4 reportable items, ... National Bank. *The Opportunity* The Compliance Analyst will review a variety of broker / dealer employee compliance requests to ensure that they are in compliance… more
- TD Bank (Cherry Hill, NJ)
- …+ Excellent communications, platform management skills **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the ... tracking data, and researching information, etc. to ensure effective operations of the business supported + Assesses risks and...Management leadership experience with a proven track record + FINRA Series 7, 24 (or equivalent - Series 9,… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate account… more
- City National Bank (Jersey City, NJ)
- …and regulatory counsel to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and affiliates with respect ... and transactional support to the Bank and its wealth management operations and subsidiaries. Substantial expertise in advising registered investment advisers and… more
- Deloitte (Morristown, NJ)
- …a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record ... within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting,… 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 Analyst level… more
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... in the financial services industry addressing regulatory issues and optimizing operations . + CAMS certification highly desired. **Work Environment** SMBC's "5… more