- Guardian Life (Trenton, NJ)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue...an insurance-affiliated broker / dealer as a plus. + Prior examination,… more
- TD Bank (Mount Laurel, NJ)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- TD Bank (Mount Laurel, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to broker dealer policies, training materials, and certifications.** + **Various ... expertise and Compliance advice to business management.** + **Assist senior compliance managers with regulatory engagements, including on-site exam coordination,… more
- Broadridge Financial Solutions (Newark, NJ)
- …FI operations at a buyside or sell side institution, E-Commerce ECN or Inter Dealer Broker preferred. + Detail oriented, results driven, and possesses a strong ... the way, come join the Broadridge team. We are seeking a self-motivated Relationship Manager to join Broadridge LTX sales team to help expand our business across… more
- TD Bank (Mount Laurel, NJ)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... individual circumstances.** **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support)...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- City National Bank (Jersey City, NJ)
- …analyze results of testing performed, and effectively communicate audit results to the Senior Audit Manager /Director and senior management in meetings, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital… more
- City National Bank (Jersey City, NJ)
- …AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth ... Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets,… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team....the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... We are on the lookout for a talented Audit Manager to join our Asset Wealth Management - Private...the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex… more
- Lincoln Financial (Trenton, NJ)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... a Glance** We are excited to bring on a Manager to join our Dedicated Social Security team supporting...of responsibility, assess impact, and collaborate with peers and senior management to incorporate new trends and developments in… more