- 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, ... the operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic opportunities, analyze results of testing… 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 ... offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain,… 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 ... an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures + Establish, maintain,… more
- TD Bank (Mount Laurel, NJ)
- …processes in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + ... + Keeps abreast of emerging issues, trends and evolving regulatory requirements to identify new opportunities and assesses potential...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Deloitte (Jersey City, NJ)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Senior Consultant, Anti-Money Laundering Analytics About Deloitte Regulatory , Risk & ForensicOur Deloitte Regulatory ,...partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day… 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). Additionally, the position is responsible for maintaining and executing… 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 ... to new and existing clients - the legal and compliance aspects of designing and administering life insurance and...position with third parties such as federal and state regulatory bodies and agencies + Prepare and maintain registration… more
- JPMorgan Chase (Jersey City, NJ)
- …department in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity ... Investment Bank's financial controls, including integrity of financial statements, compliance with external/ regulatory reporting requirements, and adherence to… more
- Lincoln Financial (Trenton, NJ)
- …development + Knowledge of internal controls, business / information technology risk, regulatory and compliance frameworks (ITIL, NIST, COBIT, NY DFS, SEC, ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... stakeholders, including other control groups (such as risk management, compliance ), external auditors, and regulators. Establish strong working relationships while… more