- Citigroup (Jersey City, NJ)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... cleaner reconciliations. GTPL will continue enabling several global functions like Compliance , Risk including BASEL, Tax and Regulatory Reporting and firm-wide… more
- MUFG (Jersey City, NJ)
- …of inherent, control, and residual risks. **Primary Responsibilities:** **Regulatory and Compliance ** + Maintain a high degree of knowledge with current and ... controls; and identifying issues resulting from internal and/or external compliance examinations especially in cloud environments. + **Cloud Security:** In-depth… more
- DuPont (Parlin, NJ)
- …(PSM) program. This role provides leadership and technical expertise to ensure compliance with the Mechanical Integrity and Quality Assurance requirements of DuPont ... requirements, in a way that decreases risk of PSM Incidents or regulatory non- compliance resulting from MI or QA deficiencies. This individual will function as a… more
- Citigroup (Rutherford, NJ)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... optimizing management of systems supporting global functions such as Compliance , Controls, Internal Audit and Risk, and introducing innovative technologies… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on ... transactions. * Ensures practice and regulatory policies are followed within compliance standards * Perform other duties and responsibilities as assigned.… more
- JPMorgan Chase (Jersey City, NJ)
- …clients and partners across LOBs: sales/service, implementation, tech & ops, risk, compliance , legal and other groups to ensure proper due diligence and review ... 20022 + Experience with Clearinghouse Settlement & CLS + Knowledge of securities services including custody, transfer agency and other funds services Preferred… more
- MetLife (Whippany, NJ)
- …Management (MIM), which includes front and middle office operations and Investments compliance for affiliated and third-party clients. We are looking for an auditor ... of middle/back office operations, investment products (eg, fixed income securities ), SEC/FINRA regulations Equal Employment Opportunity/Disability/Veterans If you need… more
- Lincoln Financial (Trenton, NJ)
- …sales and distribution to new and existing clients - the legal and compliance aspects of designing and administering life insurance and annuity products + Identify ... 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'… more
- HSBC (Jersey City, NJ)
- …with Syndicate Desk and Global partners to ensure proper depository alignments of securities , with follow up and clearance on fails, and resolution of issues + ... Ability to manage a network of diverse stakeholders in person and remotely. In compliance with applicable laws, HSBC is committed to employing only those who are… more
- Citigroup (Jersey City, NJ)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... experience in business analysis or systems analysis + Solid understanding of securities trading lifecycle, pricing, P&L and Regulatory reporting + Proficiency in SQL… more