- Charles Schwab (Morristown, NJ)
- …& Co. Inc. compliance manual, business unit specific policies/procedures, federal/state securities laws/regulations and applicable rules of FINRA, NASD, MSRB, CBOE, ... NFA and exchanges of which Charles Schwab & Co Inc. is a member. + Ensure all individuals under supervision, including supervisors, are appropriately qualified through relevant experience, licensing, and training to perform their responsibilities effectively.… 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
- 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
- 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
- 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
- Navy Federal Credit Union (Cherry Hill, NJ)
- …sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify prospective participation partners/opportunities ... through prospect calling, networking, and leveraging existing participation business. + Keep current with legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting NFIS clients and/or business… 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
- 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
- Raymond James Financial, Inc. (Hackensack, NJ)
- …and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on ... estate planning options and techniques. * Responds to and directs education funding questions including 529 savings plans. * Assists with guidance on small business planning. * Conducts research as needed related to assigned client cases, including but not… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify prospective participation partners/opportunities through ... prospect calling, networking, and leveraging existing participation business + Keep current with legislative and industry updates to identify areas for market growth/opportunities, and/or potential concerns impacting NFIS clients and/or business environment +… more