- Guardian Life (Trenton, NJ)
- …collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will conduct branch office ... inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch office… more
- JPMorgan Chase (Jersey City, NJ)
- JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... portfolio administration businesses in the industry, administering over $950 billion in assets globally. The business was launched in November 2005 through the commercialization of the finance and technology teams supporting JP Morgan's various private equity… more
- Citigroup (Jersey City, NJ)
- …is to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve settlement issues and ... used to present information to management. + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- TD Bank (Mount Laurel, NJ)
- …clients of TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities (TD Bank ... who are part of the client-facing Distribution teams are both securities -registered and insurance-licensed. Additionally, the Trust Advisors support both personal… more
- JPMorgan Chase (Jersey City, NJ)
- …leadership, and the opportunity to make a meaningful impact on our Securities Services business. You'll collaborate with talented professionals and benefit from ... strategic thinking, and continuous improvement. As a Control Manager in the Securities Services Operations Control Management team, you will play a key role… more
- S&P Global (Princeton, NJ)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- S&P Global (Princeton, NJ)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more