- 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)
- …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
- TD Bank (Mount Laurel, NJ)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations ... and results of analysis to inform decision making at senior levels + Builds stakeholder alignment in leading projects...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more