- Coinbase (St. Paul, MN)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …enhancements to improve efficiency and oversight. Qualifications 7+ years of relevant compliance experience; prior institutional broker - dealer experience is ... Description Compliance Manager Are you an experienced compliance professional ready to lead and enhance compliance programs in the financial services… more
- Guardian Life (St. Paul, MN)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more