Latest Broker Dealer Compliance jobs in Iselin, NJ

40 Broker Dealer Compliance Jobs in Iselin, NJ

Senior Accountant KNM Resources - Iselin,New Jersey Assist in compliance monitoring for the funds Prepare information for quarterly Board of Trustees meetings Prepare month-end accounting records and regulatory reporting for broker dealer Prepare periodic $18-23 k per Hourly 26 days ago
Broker Dealer Compliance The PeterSan Group and PeterSan Legal Staffing - New York, NY, United States and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing. Qualifications 5-8 years of experience, preferably with both broker dealer 28 days ago
Financial Advisor Equitable Advisors - Secaucus, NJ, United States powered by one of the world’s largest broker/dealers LPL* o Our elite benefits and wealth-building programs o Our competitive payouts o Our operation and compliance infrastructure support *LPL Financial 3 days ago
Financial Advisor, Edison, NJ Santander Holdings USA Inc - Edison, United States with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and insurance products including Santander Policy Statement governing the sale of uninsured products When Competitive 20 days ago
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Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor Société Générale - , NY, United States Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules 9 days ago
Senior Associate Optima Partners - New York, NY, United States compliance and regulatory matters relating to SEC (e.g., Advisers Act) CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plus Have familiarity with various regulatory mock 9 days ago
Manager, Assistant Controller, Broker Dealer Yield Street - New York, United States and regulatory reporting processes for our broker-dealer operations. The successful candidate will have a strong background in financial services accounting, broker-dealer accounting, regulatory compliance 150k+ 4 days ago
AVP, Credit Portfolio Management and Trading Alpha Global Search LLC - New York, NY, United States generated credit related orders in compliance with trading procedures and portfolio guidelines. Build relationships with the broker/dealer community to obtain valuable bids and offers; facilitate improved new 9 days ago
Trust Compliance and Risk Officer Green Key Resources - New York, NY, United States portfolio management, broker/dealers, securities trading and record keeping, account administration, collective investment funds and conflicts of interest Ensure appropriate and effective policies 9 days ago
Compliance Officer Sharegain - New York, NY by building a more liquid world. The more we share, the more we all gain. About the role We are looking for a diligent Compliance Officerto join the rapidly growing team of our US broker-dealer business 100,000 - 175,000 2 days ago

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