- 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
- Wells Fargo (Minneapolis, MN)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services,… more