- Coinbase (Boston, MA)
- …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 (Boston, MA)
- …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
- TD Bank (Boston, MA)
- …of TD Private Client Wealth, LLC. TD Bank's Registered Investment Advisor and Broker Dealer . **Depth & Scope:** + Provides people management leadership by ... and oversight of all regulated activities (SEC, FINRA) + President of US Broker - Dealer (Series 24) overseeing the securities business activities of all RIA and… more
- Wells Fargo (Boston, MA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... cashflow distributions. Review budgets + Review third-party inspections and reports in compliance with Low Income Housing Tax Credit (LIHTC) regulations + Assist… more