- Cardinal Health (Trenton, NJ)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... areas. This function also litigates all company legal matters, manages outside counsel and manages legal operations. Commercial Transaction provides legal advice, counsel and services to domestic and international businesses in support of customer, vendor,… more
- MUFG (Jersey City, NJ)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- JPMorgan Chase (Summit, NJ)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... 66 if required) and Life licenses are required - or must be successfully completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign equivalent + Adherence to policies, procedures, and… more
- Broadridge Financial Solutions (Newark, NJ)
- …of bond pricing and trading; Securitized Assets; Mortgage-backed securities ; Money Market InstrumentsFixed income backoffice Operations/Clearance Operations#LI-MR1 ... #LI-REMOTE We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates do their best when they… more
- JPMorgan Chase (Pompton Plains, NJ)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... or 66 if required), and Life licenses are required. All unlicensed applicants must obtain their licenses within 180 days of hire + Operate within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including… more
- TD Bank (Mount Laurel, NJ)
- …with regulatory bodies like the Office of Currency Comptroller (OCC), Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority** ... **(FINRA)** **Customer Accountabilities:** + Assists in the development and implementation of appropriate Compliance policies, processes and controls + Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's… more
- DuPont (Pennsauken, NJ)
- …and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of ... financing. _ _For further discussion of risks, uncertainties and assumptions that could impact the achievement, expected timing and intended benefits of the separation transactions, see DuPont's_ _announcement… more
- City National Bank (Jersey City, NJ)
- …Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements, ... MSRB Rules and the Dodd Frank Act especially the Volcker Rule is desired but not required if candidate can demonstrate the ability to quickly synthesize regulations or has an eagerness to learn. * Possesses knowledge of capital markets products * Develops a… more
- TD Bank (Mount Laurel, NJ)
- …including Reg B, Reg E, FCRA, CRA, UDAAP, GLBA; familiarity with securities regulations a plus. + Experience in compliance monitoring, testing, and control ... mapping. + Hands-on experience in issue management and regulatory change management. + Strong written and verbal communication skills with the ability to consult, influence, and provide constructive challenge. + Relationship-building skills with the ability to… more
- BlackRock (Princeton, NJ)
- …industry/competitive analysis and preparing credit reviews on municipal fixed income securities across a variety of sectors. This position requires close interaction ... with our portfolio management team providing investment recommendations based upon both fundamental credit analysis and relative value metrics. The analyst will also assist with sector deep-dive reviews, client presentations and mentoring of junior staff… more