- TD Bank (Mount Laurel, NJ)
- …including Reg B, Reg E, FCRA, CRA, UDAAP, GLBA; familiarity with securities regulations a plus. + Experience in compliance monitoring, testing, and control ... mindset. + Demonstrated leadership abilities with interest in growing into a senior or leadership role. + CRCM preferred **Customer Accountabilities:** + Proactively… more
- MUFG (Jersey City, NJ)
- …across business and technology domains. + Ability to present technical strategies to senior leadership and drive consensus. + Inclusive leadership style with a focus ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (Jersey City, NJ)
- …experience in Banking & Financial Services sector + Proven experience in a senior product management role, using Agile methodology + Experience with AML, KYC, ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (Jersey City, NJ)
- …and interpersonal skills + Ability to present both in person and virtually to senior management and train client audiences on a business and technical level. + ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Cardinal Health (Trenton, NJ)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... and customers * Interacts with internal and/or external leaders, including senior management * Persuades others into agreement in sensitive situations while… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …client acquisition. We are an expanding team that currently includes a Senior Advisor, Associate Advisor, and Registered Client Service Associate specializing in ... and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on… more
- BlackRock (Princeton, NJ)
- …rules and requirements, including those of FINRA, NFA, MSRB, and state securities , investment adviser and insurance regulators. The team is also responsible for ... other ad-hoc compliance projects. **Key Job Responsibilities:** + Assist senior compliance managers with regulatory engagements, including on-site exam coordination,… more
- Bank of America (Jersey City, NJ)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... and risk points of view, including appropriate escalation and communication to Senior Management + Understand and document the capital impacts from new products… more
- Wolters Kluwer (Princeton, NJ)
- …In Financial Services, we support banks, non-bank lenders, credit unions, insurers, and securities firms of all sizes with a wide array of loan compliance and ... through execution. + Excellent communication and storytelling skills, especially with senior executives and cross-functional teams. + Experience working with AI… more
- Citigroup (Jersey City, NJ)
- The Technology Lead Business Analyst is a senior -level position responsible for liaising between business users and technologists to exchange information in a ... experience in business analysis or systems analysis + Solid understanding of securities trading lifecycle, pricing, P&L and Regulatory reporting + Proficiency in SQL… more