Broker jobs in North Bergen, NJ - Page 2Create job alerts

Coordinate payments to third-party co-brokers, manage vendor setups, and handle inquiries regarding third-party payments. * Weekly Work in Progress (WIP) Meeting : Update the WIP tracker to reflect ...

Coordinate with external service providers, including custodians, brokers, and technology vendors, to ensure high-quality service and adherence to contractual obligations. * Regulatory Compliance

Ideal candidate has existing relationships with banks, insurance companies, broker-dealers, asset managers, pension funds, and hedge funds * Develop positive relationships with internal constituents ...

You will also lead initiatives for system enhancements and reviews, assess initial and secondary offerings for broker restrictions, and prepare monthly and quarterly compliance reports for mutual ...

The role: -Analyze and assess Investment Grade opportunities with a specific focus on Financials (banking, brokerage, insurance, specialty finance); -Deliver insightful fundamental analysis; -Develop ...

Ascent Capital, among other firms, is regulated by our broker-dealer Transamerica. Our office is growing rapidly all across the continental United States. We seek highly motivated, competent, capable ...

Our Broker/Dealer partner is Osaic. Location: Flexible - Remote living in Denver, CO (Mountain Coast Time Zone Preferred) Salary and Benefits: Earn a competitive salary between $120,000 and $175,000 ...

Active monitoring of advisory and broker-dealer activities to ensure compliance with policies & procedures * Deep knowledge and administration of the firm's compliance testing program under 206(4)-7 ...

Experience with Broker-Dealer. * Excel, Word, Visio, PowerPoint, SQL skills are a requirement. * Delivery of large multi-functional projects. * Knowledge of GSCC Netting and Central Clearing a Plus

Required Qualifications • At least 5 years of experience in a regulatory or compliance setting of an institutional investment bank, broker-dealer, or banking organization. • Experience reviewing ...

... broker - what are the new background configurations that are required, or which ones need to be updated: internal configurations; scheduled tasks; filters; transfers (ex: there are ETD transfers ...

Leading NFA IB and broker-dealer with a global presence is looking to add seasoned and experienced cash treasuries, fixed income, mortgage bonds, corporate bonds, fixed income RV and institutional ...

The ideal candidate will lead audits, serve as an Auditor-in-Charge (AIC) , and execute the audit strategy for lines of business involving cash equities, derivatives, prime brokerage, and structured ...

A broker-dealer background would be highly advantageous Kite Human Capital - Hire Better We are unashamedly focused on working with only the best people, who care about customer value and maintain a ...

Preferred Brokerage, retirement, estate and beneficiary services experience desirable. * Analytical thinker, with excellent written and verbal communication Detail oriented with strong organizational ...

Company Description Stacom CRE is a woman owned boutique advisory and brokerage firm specializing in New York City real estate. Drawing on over 40 years of experience dedicated to Manhattan and its ...

Adhere to all daily deadlines. • Verify the trade information vs. broker presentation received from the client via the Sonic system. This includes account number, quantity, CUSIP, etc. • Manage ...

Broker-Dealer and Swap Dealer regulations (e.g., FINRA rules, SEC rules, CFTC, NFA etc.) * Business Conducts (e.g., Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks ...

W. Kaufman Group to broker, write, insure and finance the most highly specialized risks in the world. Equal Opportunity Employer The H.W. Kaufman Group of companies is an equal opportunity employer

It is the parent company of a number of the world's leading risk experts and specialty consultants, including Marsh, the insurance broker and risk advisor; Guy Carpenter, the risk and reinsurance ...

Effectively communicating with stakeholders, including investors, brokers, and internal teams, to provide updates on ETF activities and address inquiries or concerns.

... broker-dealers, FINRA, investment advisors, or fund formation is a plus Qualifications: Qualifications • 6+ years of experience in securities law • Strong understanding of public company ...

Responsibilities: • Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales and ...

In addition, you will provide direction to TPA and act as a liaison between broker, insured, underwriting, loss control and TPA. Qualified candidates must be well versed in both Pennsylvania and New ...