- SMBC (Jersey City, NJ)
- …should have functional knowledge of either US securities/commodities laws and regulations ( SEC , CFTC, FINRA ) or US banking/prudential laws and regulations (FRB, ... SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of...management experience. + Familiarity with either US securities/swaps regulations ( SEC , CFTC, FINRA ) and/or US banking laws… more
- SMBC (Jersey City, NJ)
- …controls. Additionally, strong knowledge of either US securities/commodities laws and regulations ( SEC , CFTC, FINRA ) or US banking regulations (eg, Federal ... to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are...banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations ( SEC , CFTC, FINRA , NFA) and related products… more
- TD Bank (Marlton, NJ)
- …of Business:** TD Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office ... new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts...rules regarding client accounts including Regulation Best Interest and FINRA suitability rules and ensures compliance with… more
- TD Bank (Marlton, NJ)
- …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series… more
- Guardian Life (Trenton, NJ)
- …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate ... an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures....documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies.… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate ... for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies… more
- City National Bank (Jersey City, NJ)
- …advise on a broad range of matters under the banking and securities laws, including the SEC , FINRA , OCC, FRB, and FDIC, help resolve issues as they arise, and to ... legislation, new product development, and documentation and in dealings with the OCC, SEC , FINRA and other US regulatory authorities. * Conduct research and… more
- Raymond James Financial, Inc. (Cedar Knolls, NJ)
- …**Work Experience** General Experience - 3 to 6 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... meetings, providing key insights, and handling documentation. Ensure that all compliance standards are met for client documentation and communication. Actively… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …**Work Experience** General Experience - 3 to 6 years **Certifications** GS - Gen Sec Rep - Financial Industry Regulatory Authority ( FINRA ), RA - Investment Adv ... transactions. * Ensures practice and regulatory policies are followed within compliance standards * Perform other duties and responsibilities as assigned.… more