- Coinbase (Trenton, NJ)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- 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 ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
- Deloitte (Princeton, NJ)
- Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive ... any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology… more
- TD Bank (Mount Laurel, NJ)
- …you consider this opportunity._** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management** + **Prior experience… more
- Deloitte (Princeton, NJ)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Our Enterprise Operations & Risk offering enables clients to achieve...with and add value to our clients. As a Manager , you will have opportunities to: + Lead project… more
- TD Bank (Marlton, NJ)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating flagged… more
- JPMorgan Chase (Jersey City, NJ)
- …all control and educational requirements. **Required qualifications, capabilities, and skills** + Broker Dealer Operations experience of or similar ... Embark on your journey as a Trade Lifecycle Manager I where you'll be at the forefront...ensure project success. As a Prime Brokerage Margin-Client Service Operations Associate within JPMorgan Chase, you will play a… more
- TD Bank (Ramsey, NJ)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and operational… more
- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... electronic communications. This role works closely with the supervision, operations , compliance, and risk departments of the US Wealth...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more