- BlackRock (Princeton, NJ)
- …this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's ... and ongoing enhancement of a robust compliance program for BlackRock's Broker - Dealer , Regulatory Engagement and Development and NFA compliance … more
- Deloitte (Morristown, NJ)
- …in a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear ... Regulatory & Financial Risk offering supports clients' regulatory and compliance needs, balancing risk and...risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how...+ Help develop risk dashboards designed to identify the regulatory compliance risk profile on an ongoing… 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)
- …of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to ... regulatory remediation + Familiarity with developing and implementing regulatory compliance risk management frameworks and programs, including … more
- Lincoln Financial (Trenton, NJ)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- City National Bank (Jersey City, NJ)
- …prospectuses, presentations, training materials, and account opening documentation to ensure regulatory compliance . * Experience advising on Employee Retirement ... counsel to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and...policies and procedures. * Assist with special projects, including compliance and regulatory law matters. * Handle… more
- TD Bank (Mount Laurel, NJ)
- …for top-tier client interaction and relationship management. + Deep understanding of regulatory compliance and risk management in the finance industry + ... and AMCB Consumer Bank teams to ensure that all regulatory , compliance , audit, and self-ID findings are...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Citigroup (Jersey City, NJ)
- …rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, ... Serves as a compliance risk officer for the Independent Compliance...regulatory exams directed by other organizations within the compliance or legal departments. + Other responsibilities include: overseeing… more
- TD Bank (Mount Laurel, NJ)
- …abilities for top-tier client interaction and relationship management + Deep understanding of regulatory compliance and risk management in the finance industry + ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more