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Lead consulting staff in various broker dealer initiatives that address risk, accounting, operational and regulatory topics Lead Regulatory Reporting projects pertaining to customer reserve (15c3 3) and net capital (15c3 1) computations, FOCUS Reports, monitoring/projection of capital, and other regulatory filings Ability to effectively communicate with client management on topics regarding broker
Full Time / Bachelor's Degree Required
Posted 6 days ago
Supports Broker with all job functions to learn the industry, business and job responsibilities necessary for future growth as a Broker. Markets, identifies, solicits, and arranges appropriate insurance coverage for clients by utilizing accessible markets. Serves as in intermediary between the Agent and the Insurance Company. Drives new business to assist Broker in meeting or exceeding production
Full Time
Posted 20 days ago
of the role Responsible for coordinating, researching, preparing and responding to various inquiries from Regulators, primarily FINRA and SEC Manage ongoing engagement with various broker/dealer examiners for long term relationship development purposes Gather and analyze data sourced from various internal Compliance, Business, Operational and IT personnel for request submission Validate that propo
Full or Part Time
Posted 1 month ago
The Principal Corporate Compliance Tester for the Commercial line of business performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with FINRA, SEC, and OCC applicable laws and regulations. The Principal Corporate Compliance Tester will be responsible for executing complex risk based compliance transaction testing under the leadership of
Full Time / High School or Equivalent Required
Posted 1 month ago
Practical Law US is looking for a Senior Legal Editor to work on broker dealer resources for our Capital Markets & Corporate Governance Service. The focus of the editor is to expand the scope of our legal know how materials in the following areas SEC, FINRA and state broker dealer registration and exemptions. SEC/FINRA/OCIE investigations, inspections and disciplinary actions. Compliance, record k
Full Time
Posted 15 days ago
Partner with businss unit senior management with respect to strategic issues. Prepare, review and negotiate company contracts, requests for proposals and other legal documents. Assist the legal department with administrative or legal matters, including the organizing and managing of work activities assigned by the general counsel. Provide leadership and direction on regulatory and ethical business
Full Time
Posted 16 days ago
As a Server Side Developer at TR REDI, you are able to tackle a broad range of problems focused around automated trading algorithms, dependable low latency communication, market data, and order management. You will work with developers and architects on building performance critical, scalable, highly visible applications. On our brand new application platform, you will work primarily in Java and w
Full Time / Bachelor's Degree Required
Posted 15 days ago
As a Server Side Developer at TR REDI, you are able to tackle a broad range of projects focused on low latency, high speed applications in multiple languages and platforms. From C++ to Java on Linux, back end database and inter process communication, you should be comfortable in all tiers and have a willingness to learn new skills as we evolve with the changing technology landscape. Successful ser
Full Time / Bachelor's Degree Required
Posted 15 days ago
RBC - 
Jersey City, NJ
City Jersey City Address 30 Hudson Street Work Hours/Week 40+ Work Environment Office Employment Type Regular U.S. Career Level Experienced Hire/Professional Pay Type Salaried Required Travel (%) 0 25 Exempt/Non Exempt Exempt People Manager Yes Application Deadline 07/24/2017 Req ID 135412 Posting Notes None RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased
Part Time / Bachelor's Degree Required
Posted 1 month ago
Provide research support and assistance to the team. Performs certain regular tasks around the collection and analysis of core data, as well as a range of activities that contribute to and support the team's production and delivery of research material. Researches and collects market information regarding the commercial real estate market. Gathers data on newly available properties, transactions,
Full Time / Associate Degree Required
Posted 14 days ago
Work with existing senior members in defining and implementing the next stage of the architecture Gain an overall understanding of the current suite of web applications, including the UI and web services components. Work with other team members to improve the service experience for customers including the availability and resiliency of the system. Quickly analyze production problems and provide tr
Full Time / Bachelor's Degree Required
Posted 15 days ago
BNY Mellon - 
Lake Mary, FL / Jersey City, NJ
Senior Counsel is an experienced attorney that is highly competent and is viewed as an expert in his/her area of practice. AREA OF EXPERTISE Securities Industry Legal background required in the following areas experience with Registered Investment Advisors, Broker Dealers and Investment Products (Mutual funds, Hedge funds, Alternative Products) a must. Strong Working knowledge of FINRA and SEC rul
Full Time
Posted 8 days ago
Responsible for driving referrals from brokers and mini correspondent lenders for conventional and government residential mortgage loans to customers who qualify based on assessment of financial and credit data. Focused on driving loan applications for low and moderate income borrowers. Develop market in low and moderate income CRA assessment areas through partnering with direct referral sources.
Full Time / Bachelor's Degree Required
Posted Today
Spectrum Asset Management, Inc. is seeking top talent to join our team as an Assistant Financial Controller in our Stamford, Connecticut office. Spectrum is a dual registered RIA/Broker Dealer with over $20 billion in assets under management and manages portfolios of preferred securities for an international universe of corporate, pension fund; insurance and endowment clients; open end and closed
Full Time / Bachelor's Degree Required
Posted 6 days ago
Responsible for driving referrals from brokers and mini correspondent lenders for conventional and government residential mortgage loans to customers who qualify based on assessment of financial and credit data. Focused on driving loan applications for low and moderate income borrowers. Develop market in low and moderate income CRA assessment areas through partnering with direct referral sources.
Full Time / Bachelor's Degree Required
Posted Today
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