- 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
- 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
- TD Bank (Mount Laurel, NJ)
- …work in an unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... a critical executive role responsible for management of Administration, FINRA required FINOP responsibilities, Marketing Principal duties, Strategy, middle-office… more
- TD Bank (Mount Laurel, NJ)
- …work in an unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... acumen, comfortable with IT systems that support wealth management operations + Prior engagement with regulators (eg, FINRA... operations + Prior engagement with regulators (eg, FINRA , SEC, OCC) + Exceptional problem solving and analytical… more
- TD Bank (Mount Laurel, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to broker dealer policies, training materials, and certifications.** + **Various ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...ongoing compliance with the Investment Company Act of 1940, FINRA , SEC rules, and other applicable state and federal… 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
- Broadridge Financial Solutions (Newark, NJ)
- … operations at a buyside or sell side institution, E-Commerce ECN or Inter Dealer Broker preferred. + Detail oriented, results driven, and possesses a strong ... events. + PowerBI skills are a plus + Current FINRA Series 7 and Series 63 license or ability...delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At… more
- City National Bank (Jersey City, NJ)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more