- 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 (Jersey City, 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 (Englishtown, 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
- 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
- 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
- City National Bank (Jersey City, NJ)
- …and subsidiaries. Substantial expertise in advising registered investment advisers and broker -dealers is essential as is the ability to work and communicate ... a broad range of matters under the banking and securities laws, including the SEC, FINRA, OCC, FRB, and...counsel to the Bank and its registered investment adviser, broker -dealer, and registered investment fund subsidiaries and affiliates with… more
- TD Bank (Mount Laurel, NJ)
- …of current compliance and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and B/D Operations, investment ... **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more