- Coinbase (Springfield, IL)
- …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
- Guardian Life (Springfield, IL)
- …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
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... solutions to meet their generational wealth management needs. As a Supervisory Manager in JP Morgan Wealth Management, you will exhibit leadership and operational… more
- Ankura (Chicago, IL)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... company is licensed, Ankura can serve as the overall state regulatory manager in the US to ensure compliance with a myriad of state rules and regulations. Our … more