- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other affiliates. This role will ... deep technical knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and… more
- SMBC (Jersey City, NJ)
- …regulators as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- SMBC (Jersey City, NJ)
- …Skills** + Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- JPMorgan Chase (Jersey City, NJ)
- …or legal firm + Experience in Broker Dealer , FCM, Swap Dealer , Control Management, Compliance , Audit, and/or operational risk. + Proven ability to ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...engagements. You will collaborate with senior leaders across the Broker Dealer , Futures Commission Merchant, Swap … more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking Finance Audit team, you will be involved in all… more
- TD Bank (Mount Laurel, NJ)
- …Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… 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
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... stakeholders, business management, other control groups (ie risk management, compliance , fraud prevention), external auditors, and regulators, establishing strong… more
