• Director, Outside Business Activities…

    SMBC (Jersey City, NJ)
    …+ Other duties as required. **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 ... 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 (12/09/25)
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  • Director, Head of Registrations

    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
    SMBC (10/28/25)
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  • Manager, Broker - Dealer…

    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
    Coinbase (10/30/25)
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  • Compliance Risk Management Lead - Vice…

    JPMorgan Chase (Jersey City, NJ)
    …learning as this role will have a primary focus covering the US Broker - Dealer (s) Compliance program. **Job Responsibilities** + Coordinate periodic reporting ... FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical...businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and… more
    JPMorgan Chase (12/14/25)
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  • Compliance Business Oversight Manager

    TD Bank (Mount Laurel, NJ)
    …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
    TD Bank (01/14/26)
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  • Prime Brokerage Margin-Client Service Operations…

    JPMorgan Chase (Jersey City, NJ)
    …all control and educational requirements. **Required qualifications, capabilities, and skills** + Broker Dealer Operations experience of or similar background. + ... highly preferred, with the ability to apply these regulations to ensure compliance in trade lifecycle management and margin requirements. JPMorganChase, one of the… more
    JPMorgan Chase (01/15/26)
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  • Registrations Analyst

    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
    SMBC (10/28/25)
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  • Audit Manager - Connected Commerce & Consumer…

    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
    JPMorgan Chase (01/07/26)
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