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63 jobs found for

Broker Dealer Attorney Jobs in Newark

Job info
Company
In-House, Prudential Financial, Inc
Experience
Min 5 yrs required
Location
Newark, NJ
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
89
Total Applies
1
and counsel to the broker-dealer supporting investment management, retirement... and counsel to the broker-dealers supporting life and annuity... and counsel insurers and broker-dealers with respect to federal... and state regulatory matters as well as FINRA. Work closely with Business Unit... read more
Company
In-House, PGIM, Inc.
Experience
Min 5 yrs required
Location
Newark, NJ
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
144
and counsel to the broker-dealer supporting Prudential’s investment management,... and counsel to the broker-dealers supporting Prudential’s life and... counsel Prudential’s insurers and broker-dealers with respect to federal... and state regulatory matters as well as FINRA. Work closely with Business Unit... read more
Company
In-House, PGIM, Inc.
Experience
7-10 yrs required
Location
Newark, NJ
Posted Date
Apr 18, 18
Info Source
Employer
Total Views
13
compliance, client services and broker/dealers on various documentation issues... relating to clients and contracts. Contribute to the development and implementation of process improvements, through liaising with internal stakeholders such as Risk, Client Risk Facilitation, Client Onboarding, Regulatory Reform, CVA, Operations,... read more
Company
In-House, Prudential Financial, Inc
Experience
7-10 yrs required
Location
Newark, NJ
Posted Date
Apr 19, 18
Info Source
Employer
Total Views
9
compliance, client services and broker/dealers on various documentation issues... relating to clients and contracts. Contribute to the development and implementation of process improvements, through liaising with internal stakeholders such as Risk, Client Risk Facilitation, Client Onboarding, Regulatory Reform, CVA, Operations,... read more
Company
Recruiter
Experience
Min 10 yrs required
Location
Jersey City, NJ
Posted Date
Mar 16, 18
Info Source
Recruiter
Total Views
4
AML/KYC experience with a broker dealer / financial services... / wealth management and strong experience in AML/KYC laws and regulations, trends and issues. Working knowledge of LexisNexis, Factiva, World-Check, case management systems, and/ or various compliance related systems are needed.... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
Jersey City, NJ
Posted Date
Mar 19, 18
Info Source
Recruiter
Total Views
6
AML experience with a broker dealer / financial services... / wealth management and strong experience in AML/KYC laws and regulations, trends and issues. Strong experience in AML Laws, regulations, trends, and issues is required. Must have working knowledge of LexisNexis,... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Apr 23, 18
Info Source
Employer
Total Views
38
Investment Advisory Attorney The candidate will be... understanding of the wealth management business and the associated legal and regulatory issues of dual registrants and broker-dealers. Should be an excellent... communicator with the ability to distill complex topics into simple language.... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Apr 23, 18
Info Source
Employer
Total Views
17
Alternative Investment Attorney The candidate will provide... have 5+ years of experience with a Broker-dealer. Should be a strong... writer and verbal communicator, used to interacting with colleagues at all levels. Must be an expert at building networks and connections.... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Feb 05, 18
Info Source
Recruiter
Total Views
1
Broker Dealer Attorney The candidate... must have excellent academic credentials.... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Feb 07, 18
Info Source
Recruiter
Total Views
6
Securities and broker-dealer litigation The candidate must... have excellent academic credentials.... read more
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