- 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 ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- TD Bank (Mount Laurel, NJ)
- …Banking.** **As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with ... + **Participate in other initiatives as needed** **Job Summary:** The ** Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence… more
- TD Bank (Mount Laurel, NJ)
- …required (CIA and CRCM preferred) + Experienced people manager , leading a compliance audit team + Experience auditing securities, broker - dealer and/or ... **Line of Business:** Audit **Job Description:** The Senior Audit Manager leads a team of audit professionals and provides...the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance +… more
- TD Bank (Mount Laurel, NJ)
- …team of enthusiastic colleagues dedicated to setting new industry standards. **The US Compliance - Regulatory Issue Management Manager is responsible for:** + ... Experience below as you consider this opportunity._** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and… more
- Equitable (Jersey City, NJ)
- Sr. Regional Compliance Manager ( 250000LL ) **Primary Location** : UNITED STATES-NJ-Jersey City **Other Locations** : UNITED STATES-NJ-Woodbridge, UNITED ... / knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer . + Self-Starter, Strong organizational, analytical, investigative / auditing… more
- Guardian Life (Trenton, NJ)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Deloitte (Princeton, NJ)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Manager - Capital Markets Operations and Technology Our...leverage emerging technology, impacting trading strategy, operational efficiency, regulatory compliance , performance, and market reputation. Join us to shape… more
- Deloitte (Princeton, NJ)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... opportunities to build credibility with and add value to our clients. As a Manager , you will have opportunities to: + Lead project teams and junior practitioners in… 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 ... We are on the lookout for a talented Audit Manager to join our Connected Commerce & Consumer & Community Bank Strategy - Internal Audit team. This is your… more
- City National Bank (Jersey City, NJ)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... *SR. AUDIT MANAGER - TREASURY/FINANCE* WHAT IS THE OPPORTUNITY? Responsible for...information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program… more