- SMBC (Jersey City, NJ)
- …financial reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting ... NJ. This position will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer, which provides intvestment securities and other… more
- TD Bank (Mount Laurel, NJ)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management + Experience supporting the ... jurisdictions and business lines, including consumer and commercial banking, broker -dealer operations, and wealth management. This role also supports strategic… more
- TD Bank (Mount Laurel, NJ)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management businesses + Excellent written, ... verbal and analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to… more
- 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 ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an… more
- BlackRock (Princeton, NJ)
- …this role** **Description** The Regulatory Engagement and Development and Broker -Dealer Compliance team oversees BlackRock's registered personnel's compliance with ... rules and requirements, including those of FINRA, NFA, MSRB, and state securities , investment adviser and insurance regulators. The team is also responsible for… more
- Guardian Life (Holmdel, NJ)
- …daily. **You have** + 3 or more years of extensive industry experience + Securities license preferred (Series 7 or 6) + Knowledge of retail client onboarding/new ... account process, and advisory products + Possess a high degree of self-confidence, work independently and have rapid decision-making ability. Must demonstrate strong and analytical and organizational skills. + Demonstrate ownership and follow through when… more
- JPMorgan Chase (Freehold, NJ)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life… more
- JPMorgan Chase (Wallington, NJ)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- Broadridge Financial Solutions (Newark, NJ)
- …along the way, come join the Broadridge team. The Client Product Manager Securities Lending serves as the key link between clients, internal product teams, and ... delivery operations within our securities finance technology platform. Reporting to the Product Manager,...tools, aligning with the dynamic needs of agent lenders, broker -dealers, and beneficial owners. The successful candidate will own… more
- Guardian Life (Trenton, NJ)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more