- 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
- 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
- TD Bank (Cherry Hill, NJ)
- … and regulatory issues related to US Securities and financial markets (OCC, SEC , FINRA , and State Securities Regulators) + Expert human relations skills ... areas + Represents the business on all Risk Management, Compliance , AML and Audit related initiatives, reviews and in...Management leadership experience with a proven track record + FINRA Series 7, 24 (or equivalent - Series 9,… 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
- SMBC (Jersey City, NJ)
- …laws and regulations (eg, Federal Reserve Bank, NYDFS, FDIC, OCC, CFTC, NFA, FINRA , SEC , MSRB). + Experience working with regulators, specialized regulatory ... business degree or JD Degree preferred. + Former regulator, compliance , and/or attorney/legal background. Established relationships with industry and regulators… more
- Citigroup (Jersey City, NJ)
- …responding to regulatory inquiries from each of the major regulatory bodies (eg FINRA , SEC , CFTC). The response process includes compiling all requested ... Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform encompasses… more
- Wells Fargo (Iselin, NJ)
- …understanding of statistic and mathematical modeling + Basic knowledge and understanding of SEC , FINRA and international regulations + Strong knowledge of core ... implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other… more