- Coinbase (Phoenix, AZ)
- …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
- Vanguard (Scottsdale, AZ)
- …for our Cash Plus product. This role is responsible for ensuring regulatory compliance and operational integrity across broker - dealer cash management ... across payment systems and card operations. + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E,… more
- Guardian Life (Phoenix, AZ)
- …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
- Wells Fargo (Scottsdale, AZ)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Financial Advisory Senior Branch Manager - Non-Producing in Wealth and Investment Management as part of Wells Fargo… more