• Manager , Broker - Dealer…

    Coinbase (Trenton, NJ)
    …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
    Coinbase (10/30/25)
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  • Legal Entity Control Manager - Senior…

    JPMorgan Chase (Jersey City, NJ)
    JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
    JPMorgan Chase (09/14/25)
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  • Senior Compliance Analyst - Park Avenue…

    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 ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
    Guardian Life (09/10/25)
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  • Head of Wealth Product, Investment Strategy…

    TD Bank (Mount Laurel, NJ)
    …of TD Private Client Wealth, LLC. TD Bank's Registered Investment Advisor and Broker Dealer . **Depth & Scope:** + Provides people management leadership by ... and oversight of all regulated activities (SEC, FINRA) + President of US Broker - Dealer (Series 24) overseeing the securities business activities of all RIA and… more
    TD Bank (10/22/25)
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  • Audit Manager II-Wealth Management

    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, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk). Additionally, the position is responsible for maintaining… more
    City National Bank (09/24/25)
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  • Audit Manager - Asset Wealth Management

    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. This is your opportunity to play a crucial role in enhancing our… more
    JPMorgan Chase (10/16/25)
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  • Audit Manager - Connected Commerce…

    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 Connected Commerce & Consumer & Community Bank Strategy - Internal Audit team. This is your… more
    JPMorgan Chase (10/09/25)
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  • Central Supervision Analyst

    TD Bank (Marlton, NJ)
    …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
    TD Bank (10/29/25)
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  • Trade Operations Support Specialist

    TD Bank (Marlton, NJ)
    …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements. **Depth & Scope:** + Collaborates with the manager… more
    TD Bank (10/30/25)
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  • Trade Operations Senior Support Specialist

    TD Bank (Marlton, NJ)
    …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more
    TD Bank (10/18/25)
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