- City National Bank (Jersey City, NJ)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker /Dealer, Investment Banking activities for CNB's Capital Markets, Registered and ... Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements,… more
- Broadridge Financial Solutions (Newark, NJ)
- …excellence in income processing and reconciliation for a variety of securities , including Corporate Bonds, Money Market Instruments, Treasuries, and other government ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Guardian Life (Holmdel, NJ)
- …products and services offered by Guardian and its subsidiaries, including affiliated broker dealers, comply with applicable laws, regulations, and standards. This is ... compliance programs that ensure adherence to company policies and insurance and securities regulations. + Support the development of the compliance team's data… more
- Lincoln Financial (Trenton, NJ)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Trenton, NJ)
- …and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years' ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Citigroup (Jersey City, NJ)
- …and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, Sales ... and Trading business. + A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects +… more