- SMBC (Jersey City, NJ)
- …and State regulators as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of ... offers a range of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client base to local… more
- Coinbase (Trenton, NJ)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional...Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at… 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
- 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 ... offers a range of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client base to local… 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)
- …Skills** + Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a ... offers a range of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client base to local… 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 ... controls, including assessment of integrity of financial statements and compliance with various external/regulatory reporting requirements. You will also be… 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
- Coinbase (Trenton, NJ)
- …instruments accounting* within a financial institution (eg, investment bank, hedge fund, broker - dealer ). * Strong analytical and problem-solving skills, with the ... multiple priorities in a dynamic, fast-paced environment. * Experience with SOX compliance within a financial services context. * Proficiency with large ERP systems… more