- 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
- Wells Fargo (Trenton, NJ)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI,… more
- JPMorgan Chase (Jersey City, NJ)
- …of the Investment Advisers Act of 1940 and relevant aspects of the Securities Act. + Ability to advise on regulatory landscape and developments. + Excellent ... analytical, drafting, problem-solving, and organizational skills. + Ability to work collaboratively with cross-functional teams. + Strong interpersonal and verbal/written communication skills. + Curiosity and willingness to learn new areas of the law.… more
- TD Bank (Ramsey, NJ)
- …FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_ the good character, business reputation, qualifications and… more
- JPMorgan Chase (Jersey City, NJ)
- …+ Experience reviewing trading activity for Compliance and familiarity with securities laws and regulations + Knowledge of financial products including Futures ... & Options, FX, Commodities, Equities, and Derivatives + Familiarity with trade lifecycles and order workflow + Understanding of modern Lakehouse architecture (Databricks, Glue) for optimizing data pipelines and architectures + Advanced experience in data… more
- TD Bank (Forked River, NJ)
- …FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and… more
- Citizens (Iselin, NJ)
- …C&I, and relationship-based facilities + Specialty Lending: tailored UHNW financing, securities -backed lending + Understand data flows across PB, Wealth, and ... Commercial and how these intersect for unified relationship views. + Define critical product and transactional data attributes to support reporting, analytics, and cross-business insights. Analytics & Insights Enablement + Partner with business and analytics… more
- Coinbase (Trenton, NJ)
- …a fast paced environment. * Advanced knowledge of the financial services industry and securities trading. * Flexible and adaptable to meet the evolving needs of a ... high-growth and fast paced organization. * Fantastic communication and relationship management skills, passion for assisting customers to use Coinbase products successfully, and an eagerness to create a community of high value Coinbase power users. *Nice to… more
- Bloomberg (Montgomery, NJ)
- …responsible for creating and maintaining the classifications that organize companies and securities into peer groups based on similar business activities and risks. ... These classifications form the foundation for peer group analysis, benchmarking, and market trend evaluation. When clients compare investment opportunities, evaluate sector exposures, or analyze historical performance, classification data provides the… more
- US Tech Solutions (Newark, NJ)
- …Mandatory events, Fixed Income, Class Actions, Bankruptcy, Proxy and physical securities processing + Provide exceptional client service to our outsourcing clients ... + Perform various reorg events ensuring payments are made timely and accurately, as well as mitigate risk and exposure to the firm + Monitor deadlines and critical cut-offs to ensure instructions are processed accordingly + Demonstrate the ability to identify… more