Job Description A major Broker Dealer located in Jersey City is looking for a Registration Manager.
Duties and Responsibilities:
Process U4, U5 and disclosures. Monitor the Firm's Continuing Education Regulatory Elements. Maintain the Firm's registration database (outside business activity, employee trading, private securities, registrations, etc.) Process the Firm's BD and branches information. Orientation and have new hire package for the Firm's new employees. Co-ordinate In-house CE Testing. Schedule regulatory examinations. Manage annual licenses renewal. Co-ordinate/ Prepare reports/letters. Registration Manual Understand/knowledg
Skills Required Prior legal/compliance background. Knowledge/experienc FINRA rules and regulations Blue sky regulations and requirements Good communications Excel/spreadsheet Excellent writing skills WEB CRD/IRD experience Bachelors degree with 5+ years compliance/legal experience
Salary Range This is a full time position which will pay up to 100k plus bonus.
How to Apply Contact Tony Savoca at Momentum Resource Solutions at asavoca@momentumrs.
|
Thursday, April 1, 2010
[itroundtable] LEAD: Brkr Dealer - Registration Mgr - NJ - to 100k + Bonus
__._,_.___
MARKETPLACE
.
__,_._,___
Subscribe to:
Post Comments (Atom)
Twitter / newyorkitjobs
Twitter / NYC_Tech_Jobs
Followers
Blog Archive
-
►
2017
(11)
- ► 03/05 - 03/12 (1)
- ► 02/26 - 03/05 (3)
- ► 02/19 - 02/26 (1)
- ► 02/12 - 02/19 (1)
- ► 01/29 - 02/05 (2)
- ► 01/22 - 01/29 (1)
- ► 01/08 - 01/15 (1)
- ► 01/01 - 01/08 (1)
-
►
2016
(637)
- ► 12/25 - 01/01 (1)
- ► 12/18 - 12/25 (1)
- ► 12/04 - 12/11 (1)
- ► 11/13 - 11/20 (1)
- ► 10/30 - 11/06 (1)
- ► 10/23 - 10/30 (2)
- ► 10/09 - 10/16 (1)
- ► 09/25 - 10/02 (1)
- ► 09/04 - 09/11 (12)
- ► 08/28 - 09/04 (17)
- ► 08/21 - 08/28 (14)
- ► 08/14 - 08/21 (11)
- ► 08/07 - 08/14 (17)
- ► 07/31 - 08/07 (15)
- ► 07/24 - 07/31 (24)
- ► 07/17 - 07/24 (14)
- ► 07/10 - 07/17 (22)
- ► 07/03 - 07/10 (15)
- ► 06/26 - 07/03 (19)
- ► 06/19 - 06/26 (18)
- ► 06/12 - 06/19 (19)
- ► 06/05 - 06/12 (12)
- ► 05/29 - 06/05 (18)
- ► 05/22 - 05/29 (14)
- ► 05/15 - 05/22 (21)
- ► 05/08 - 05/15 (13)
- ► 05/01 - 05/08 (19)
- ► 04/24 - 05/01 (16)
- ► 04/17 - 04/24 (19)
- ► 04/10 - 04/17 (20)
- ► 04/03 - 04/10 (22)
- ► 03/27 - 04/03 (18)
- ► 03/20 - 03/27 (15)
- ► 03/13 - 03/20 (17)
- ► 03/06 - 03/13 (22)
- ► 02/28 - 03/06 (18)
- ► 02/21 - 02/28 (18)
- ► 02/14 - 02/21 (18)
- ► 02/07 - 02/14 (23)
- ► 01/31 - 02/07 (18)
- ► 01/24 - 01/31 (19)
- ► 01/17 - 01/24 (17)
- ► 01/10 - 01/17 (18)
- ► 01/03 - 01/10 (16)
-
►
2015
(1080)
- ► 12/27 - 01/03 (18)
- ► 12/20 - 12/27 (16)
- ► 12/13 - 12/20 (19)
- ► 12/06 - 12/13 (25)
- ► 11/29 - 12/06 (17)
- ► 11/22 - 11/29 (13)
- ► 11/15 - 11/22 (26)
- ► 11/08 - 11/15 (23)
- ► 11/01 - 11/08 (23)
- ► 10/25 - 11/01 (15)
- ► 10/18 - 10/25 (19)
- ► 10/11 - 10/18 (13)
- ► 10/04 - 10/11 (21)
- ► 09/27 - 10/04 (22)
- ► 09/20 - 09/27 (21)
- ► 09/13 - 09/20 (19)
- ► 09/06 - 09/13 (20)
- ► 08/30 - 09/06 (16)
- ► 08/23 - 08/30 (20)
- ► 08/16 - 08/23 (19)
- ► 08/09 - 08/16 (17)
- ► 08/02 - 08/09 (20)
- ► 07/26 - 08/02 (13)
- ► 07/19 - 07/26 (19)
- ► 07/12 - 07/19 (21)
- ► 07/05 - 07/12 (14)
- ► 06/28 - 07/05 (21)
- ► 06/21 - 06/28 (22)
- ► 06/14 - 06/21 (25)
- ► 06/07 - 06/14 (28)
- ► 05/31 - 06/07 (22)
- ► 05/24 - 05/31 (25)
- ► 05/17 - 05/24 (20)
- ► 05/10 - 05/17 (18)
- ► 05/03 - 05/10 (25)
- ► 04/26 - 05/03 (17)
- ► 04/19 - 04/26 (16)
- ► 04/12 - 04/19 (22)
- ► 04/05 - 04/12 (22)
- ► 03/29 - 04/05 (24)
- ► 03/22 - 03/29 (26)
- ► 03/15 - 03/22 (25)
- ► 03/08 - 03/15 (27)
- ► 03/01 - 03/08 (25)
- ► 02/22 - 03/01 (23)
- ► 02/15 - 02/22 (25)
- ► 02/08 - 02/15 (29)
- ► 02/01 - 02/08 (22)
- ► 01/25 - 02/01 (25)
- ► 01/18 - 01/25 (17)
- ► 01/11 - 01/18 (19)
- ► 01/04 - 01/11 (21)
-
►
2014
(1409)
- ► 12/28 - 01/04 (17)
- ► 12/21 - 12/28 (17)
- ► 12/14 - 12/21 (16)
- ► 12/07 - 12/14 (20)
- ► 11/30 - 12/07 (21)
- ► 11/23 - 11/30 (27)
- ► 11/16 - 11/23 (23)
- ► 11/09 - 11/16 (18)
- ► 11/02 - 11/09 (27)
- ► 10/26 - 11/02 (25)
- ► 10/19 - 10/26 (22)
- ► 10/12 - 10/19 (25)
- ► 10/05 - 10/12 (31)
- ► 09/28 - 10/05 (32)
- ► 09/21 - 09/28 (22)
- ► 09/14 - 09/21 (22)
- ► 09/07 - 09/14 (23)
- ► 08/31 - 09/07 (35)
- ► 08/24 - 08/31 (26)
- ► 08/17 - 08/24 (27)
- ► 08/10 - 08/17 (22)
- ► 08/03 - 08/10 (24)
- ► 07/27 - 08/03 (32)
- ► 07/20 - 07/27 (23)
- ► 07/13 - 07/20 (23)
- ► 07/06 - 07/13 (15)
- ► 06/29 - 07/06 (19)
- ► 06/22 - 06/29 (25)
- ► 06/15 - 06/22 (23)
- ► 06/08 - 06/15 (26)
- ► 06/01 - 06/08 (18)
- ► 05/25 - 06/01 (24)
- ► 05/18 - 05/25 (23)
- ► 05/11 - 05/18 (26)
- ► 05/04 - 05/11 (22)
- ► 04/27 - 05/04 (24)
- ► 04/20 - 04/27 (28)
- ► 04/13 - 04/20 (37)
- ► 04/06 - 04/13 (34)
- ► 03/30 - 04/06 (36)
- ► 03/23 - 03/30 (32)
- ► 03/16 - 03/23 (42)
- ► 03/09 - 03/16 (30)
- ► 03/02 - 03/09 (42)
- ► 02/23 - 03/02 (35)
- ► 02/16 - 02/23 (32)
- ► 02/09 - 02/16 (31)
- ► 02/02 - 02/09 (46)
- ► 01/26 - 02/02 (34)
- ► 01/19 - 01/26 (34)
- ► 01/12 - 01/19 (39)
- ► 01/05 - 01/12 (32)
-
►
2013
(1866)
- ► 12/29 - 01/05 (33)
- ► 12/22 - 12/29 (28)
- ► 12/15 - 12/22 (46)
- ► 12/08 - 12/15 (39)
- ► 12/01 - 12/08 (52)
- ► 11/24 - 12/01 (30)
- ► 11/17 - 11/24 (52)
- ► 11/10 - 11/17 (52)
- ► 11/03 - 11/10 (32)
- ► 10/27 - 11/03 (38)
- ► 10/20 - 10/27 (38)
- ► 10/13 - 10/20 (38)
- ► 10/06 - 10/13 (27)
- ► 09/29 - 10/06 (36)
- ► 09/22 - 09/29 (41)
- ► 09/15 - 09/22 (35)
- ► 09/08 - 09/15 (23)
- ► 09/01 - 09/08 (44)
- ► 08/25 - 09/01 (25)
- ► 08/18 - 08/25 (24)
- ► 08/11 - 08/18 (27)
- ► 08/04 - 08/11 (37)
- ► 07/28 - 08/04 (45)
- ► 07/21 - 07/28 (33)
- ► 07/14 - 07/21 (52)
- ► 07/07 - 07/14 (38)
- ► 06/30 - 07/07 (46)
- ► 06/23 - 06/30 (44)
- ► 06/16 - 06/23 (44)
- ► 06/09 - 06/16 (38)
- ► 06/02 - 06/09 (23)
- ► 05/26 - 06/02 (33)
- ► 05/19 - 05/26 (27)
- ► 05/12 - 05/19 (30)
- ► 05/05 - 05/12 (25)
- ► 04/28 - 05/05 (30)
- ► 04/21 - 04/28 (32)
- ► 04/14 - 04/21 (40)
- ► 04/07 - 04/14 (35)
- ► 03/31 - 04/07 (33)
- ► 03/24 - 03/31 (31)
- ► 03/17 - 03/24 (28)
- ► 03/10 - 03/17 (40)
- ► 03/03 - 03/10 (46)
- ► 02/24 - 03/03 (37)
- ► 02/17 - 02/24 (33)
- ► 02/10 - 02/17 (32)
- ► 02/03 - 02/10 (38)
- ► 01/27 - 02/03 (34)
- ► 01/20 - 01/27 (41)
- ► 01/13 - 01/20 (33)
- ► 01/06 - 01/13 (28)
-
►
2012
(1905)
- ► 12/30 - 01/06 (28)
- ► 12/23 - 12/30 (25)
- ► 12/16 - 12/23 (39)
- ► 12/09 - 12/16 (35)
- ► 12/02 - 12/09 (27)
- ► 11/25 - 12/02 (41)
- ► 11/18 - 11/25 (28)
- ► 11/11 - 11/18 (33)
- ► 11/04 - 11/11 (31)
- ► 10/28 - 11/04 (16)
- ► 10/21 - 10/28 (37)
- ► 10/14 - 10/21 (39)
- ► 10/07 - 10/14 (35)
- ► 09/30 - 10/07 (31)
- ► 09/23 - 09/30 (48)
- ► 09/16 - 09/23 (25)
- ► 09/09 - 09/16 (26)
- ► 09/02 - 09/09 (28)
- ► 08/26 - 09/02 (31)
- ► 08/19 - 08/26 (33)
- ► 08/12 - 08/19 (24)
- ► 08/05 - 08/12 (31)
- ► 07/29 - 08/05 (26)
- ► 07/22 - 07/29 (27)
- ► 07/15 - 07/22 (23)
- ► 07/08 - 07/15 (31)
- ► 07/01 - 07/08 (30)
- ► 06/24 - 07/01 (32)
- ► 06/17 - 06/24 (28)
- ► 06/10 - 06/17 (32)
- ► 06/03 - 06/10 (32)
- ► 05/27 - 06/03 (33)
- ► 05/20 - 05/27 (32)
- ► 05/13 - 05/20 (30)
- ► 05/06 - 05/13 (57)
- ► 04/29 - 05/06 (41)
- ► 04/22 - 04/29 (34)
- ► 04/15 - 04/22 (41)
- ► 04/08 - 04/15 (57)
- ► 04/01 - 04/08 (30)
- ► 03/25 - 04/01 (30)
- ► 03/18 - 03/25 (61)
- ► 03/11 - 03/18 (34)
- ► 03/04 - 03/11 (53)
- ► 02/26 - 03/04 (40)
- ► 02/19 - 02/26 (40)
- ► 02/12 - 02/19 (52)
- ► 02/05 - 02/12 (48)
- ► 01/29 - 02/05 (49)
- ► 01/22 - 01/29 (52)
- ► 01/15 - 01/22 (44)
- ► 01/08 - 01/15 (68)
- ► 01/01 - 01/08 (27)
-
►
2011
(2677)
- ► 12/25 - 01/01 (42)
- ► 12/18 - 12/25 (49)
- ► 12/11 - 12/18 (39)
- ► 12/04 - 12/11 (45)
- ► 11/27 - 12/04 (40)
- ► 11/20 - 11/27 (45)
- ► 11/13 - 11/20 (38)
- ► 11/06 - 11/13 (49)
- ► 10/30 - 11/06 (56)
- ► 10/23 - 10/30 (63)
- ► 10/16 - 10/23 (50)
- ► 10/09 - 10/16 (45)
- ► 10/02 - 10/09 (61)
- ► 09/25 - 10/02 (39)
- ► 09/18 - 09/25 (54)
- ► 09/11 - 09/18 (43)
- ► 09/04 - 09/11 (52)
- ► 08/28 - 09/04 (38)
- ► 08/21 - 08/28 (53)
- ► 08/14 - 08/21 (45)
- ► 08/07 - 08/14 (52)
- ► 07/31 - 08/07 (48)
- ► 07/24 - 07/31 (75)
- ► 07/17 - 07/24 (76)
- ► 07/10 - 07/17 (48)
- ► 07/03 - 07/10 (31)
- ► 06/26 - 07/03 (41)
- ► 06/19 - 06/26 (53)
- ► 06/12 - 06/19 (68)
- ► 06/05 - 06/12 (46)
- ► 05/29 - 06/05 (37)
- ► 05/22 - 05/29 (40)
- ► 05/15 - 05/22 (43)
- ► 05/08 - 05/15 (38)
- ► 05/01 - 05/08 (38)
- ► 04/24 - 05/01 (46)
- ► 04/17 - 04/24 (56)
- ► 04/10 - 04/17 (51)
- ► 04/03 - 04/10 (47)
- ► 03/27 - 04/03 (69)
- ► 03/20 - 03/27 (72)
- ► 03/13 - 03/20 (43)
- ► 03/06 - 03/13 (49)
- ► 02/27 - 03/06 (53)
- ► 02/20 - 02/27 (45)
- ► 02/13 - 02/20 (56)
- ► 02/06 - 02/13 (66)
- ► 01/30 - 02/06 (70)
- ► 01/23 - 01/30 (75)
- ► 01/16 - 01/23 (78)
- ► 01/09 - 01/16 (74)
- ► 01/02 - 01/09 (47)
-
▼
2010
(2967)
- ► 12/26 - 01/02 (44)
- ► 12/19 - 12/26 (56)
- ► 12/12 - 12/19 (48)
- ► 12/05 - 12/12 (38)
- ► 11/28 - 12/05 (53)
- ► 11/21 - 11/28 (59)
- ► 11/14 - 11/21 (61)
- ► 11/07 - 11/14 (52)
- ► 10/31 - 11/07 (78)
- ► 10/24 - 10/31 (54)
- ► 10/17 - 10/24 (59)
- ► 10/10 - 10/17 (49)
- ► 10/03 - 10/10 (42)
- ► 09/26 - 10/03 (44)
- ► 09/19 - 09/26 (41)
- ► 09/12 - 09/19 (43)
- ► 09/05 - 09/12 (27)
- ► 08/29 - 09/05 (42)
- ► 08/22 - 08/29 (61)
- ► 08/15 - 08/22 (44)
- ► 08/08 - 08/15 (47)
- ► 08/01 - 08/08 (57)
- ► 07/25 - 08/01 (52)
- ► 07/18 - 07/25 (66)
- ► 07/11 - 07/18 (55)
- ► 07/04 - 07/11 (41)
- ► 06/27 - 07/04 (51)
- ► 06/20 - 06/27 (56)
- ► 06/13 - 06/20 (45)
- ► 06/06 - 06/13 (46)
- ► 05/30 - 06/06 (47)
- ► 05/23 - 05/30 (81)
- ► 05/16 - 05/23 (38)
- ► 05/09 - 05/16 (72)
- ► 05/02 - 05/09 (57)
- ► 04/25 - 05/02 (68)
- ► 04/18 - 04/25 (56)
- ► 04/11 - 04/18 (74)
- ► 04/04 - 04/11 (50)
-
▼
03/28 - 04/04
(59)
- [itroundtable] FW: Confidential Search for a Syste...
- [itroundtable] LEAD: Program Dir - NYC - Research...
- [itroundtable] Digest Number 2100
- [itroundtable] GENERAL: FINAL REMINDER - DINNER MT...
- [CNG] Digest Number 1941
- [WNO] Digest Number 501
- [NE-Financial-Services-IT-Jobs] Digest Number 455
- [SMCNG] Digest Number 353
- [itroundtable] LEAD: Dir PMO Head - NJ - to 300k ...
- [itroundtable] LEAD: Oracle EBS Sys Anal - NJ - P...
- [itroundtable] Digest Number 2099[3 Attachments]
- [itroundtable] Fwd: LinkedIn CRM: Using the New Li...
- [CNG] Digest Number 1940[3 Attachments]
- [WNO] Digest Number 500
- [NE-Financial-Services-IT-Jobs] Digest Number 454
- [itroundtable] LEAD: Brkr Dealer - Registration M...
- [itroundtable] LEAD: Risk Manager - NJ - to 165k ...
- [itroundtable] FW: SR 45283 45260 45276 [3 Attachm...
- [the_ny-metro_job_searchers_group] Digest Number 1586
- [itroundtable] Fw: Today's Job Match Alert
- [itroundtable] Digest Number 2098[1 Attachment]
- [itroundtable] FW: NOTIFICATION: Job Posting Notif...
- [itroundtable] LEAD: BA - NJ - to 125k - P & C In...
- [SMCNG] Digest Number 351
- [CNG] Digest Number 1939[1 Attachment]
- [WNO] Digest Number 499
- [SMCNG] Digest Number 350
- [itroundtable] Digest Number 2097
- [CNG] Digest Number 1938
- [itroundtable] LEAD: Video Conf Eng - NYC - IP Vi...
- [WNO] Digest Number 498
- [SMCNG] Digest Number 349
- [itroundtable] FW: Project Manager Opportunity - N...
- [itroundtable] FW Lead: Business Systems Analyst (...
- [itroundtable] FW Robert Half lead: Business Analy...
- [SMCNG] Digest Number 348[1 Attachment]
- [itroundtable] LEAD: Sr PM - NJ - 8 mos + contract
- [itroundtable] LEAD: VP/Mktg Mgr - Technology - F...
- [itroundtable] Postitions at Telcordia
- [itroundtable] Digest Number 2096[1 Attachment]
- [itroundtable] Fwd: CareerBuilder: BladeLogic Admi...
- [itroundtable] FW: job fair this Wednesday, 3/31 [...
- [CNG] Digest Number 1937
- [WNO] Digest Number 497
- [NE-Financial-Services-IT-Jobs] Digest Number 453
- [itroundtable] Fwd: [SMCNG] Sr. BAs in the NY/NJ a...
- [SMCNG] Digest Number 346
- Re: [itroundtable] FW: [AbsolutelyJobLeads-East] S...
- [itroundtable] In need of accountant / CPA
- [itroundtable] Fw: Technology Consulting opportun...
- [itroundtable] Digest Number 2095[4 Attachments]
- [itroundtable] **NNJ ASTD Career Transition**04/08...
- [CNG] Digest Number 1936
- [itroundtable] Michael McKenna Audit Telecommunica...
- [itroundtable] FW: SR 45228 45225 45213 [3 Attachm...
- [itroundtable] Digest Number 2094
- [CNG] Digest Number 1935
- [WNO] Digest Number 495
- [NE-Financial-Services-IT-Jobs] Digest Number 452
- ► 03/21 - 03/28 (76)
- ► 03/14 - 03/21 (63)
- ► 03/07 - 03/14 (102)
- ► 02/28 - 03/07 (87)
- ► 02/21 - 02/28 (75)
- ► 02/14 - 02/21 (115)
- ► 02/07 - 02/14 (63)
- ► 01/31 - 02/07 (68)
- ► 01/24 - 01/31 (62)
- ► 01/17 - 01/24 (67)
- ► 01/10 - 01/17 (42)
- ► 01/03 - 01/10 (34)
-
►
2009
(1384)
- ► 12/27 - 01/03 (33)
- ► 12/20 - 12/27 (33)
- ► 12/13 - 12/20 (29)
- ► 12/06 - 12/13 (54)
- ► 11/29 - 12/06 (57)
- ► 11/22 - 11/29 (60)
- ► 11/15 - 11/22 (57)
- ► 11/08 - 11/15 (43)
- ► 11/01 - 11/08 (50)
- ► 10/25 - 11/01 (63)
- ► 10/18 - 10/25 (63)
- ► 10/11 - 10/18 (47)
- ► 10/04 - 10/11 (38)
- ► 09/27 - 10/04 (51)
- ► 09/20 - 09/27 (34)
- ► 09/13 - 09/20 (47)
- ► 09/06 - 09/13 (61)
- ► 08/30 - 09/06 (77)
- ► 08/23 - 08/30 (64)
- ► 08/16 - 08/23 (65)
- ► 08/09 - 08/16 (68)
- ► 08/02 - 08/09 (53)
- ► 07/26 - 08/02 (56)
- ► 07/19 - 07/26 (58)
- ► 07/12 - 07/19 (36)
- ► 07/05 - 07/12 (74)
- ► 04/19 - 04/26 (13)
No comments:
Post a Comment