- Coinbase (Hartford, CT)
- …regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
- NatWest Markets (Stamford, CT)
- …regulations and best practice first line procedures and processes for a US broker - dealer . + In-depth knowledge of pre-trade client onboarding processes related ... US Client Services and Onboarding, Manager LocationStamford,United States Job typePermanent Contract typeFull Time...may be assigned as necessary to ensure the proper operations of the department and the business_ **US Client… more
- NatWest Markets (Stamford, CT)
- …of broker dealerfinancial regulationor accounting firm experience auditing a US regulated broker dealer + Must have experience working with SEC rule 15c3-1 ... Regulatory Reporting Manager , VP LocationStamford,United States Job typePermanent Contract typeFull...may be assigned as necessary to ensure the proper operations of the department and the business._ Be a… more
- NatWest Markets (Stamford, CT)
- …stakeholder management skills + Good written and verbal communication skills + Broker Dealer experience in supporting regulatory and business audit engagements ... Audit Manager LocationStamford,United States Job typePermanent Contract typeFull Time...may be assigned as necessary to ensure the proper operations of the department and the business._ As an… more
- TD Bank (Hartford, CT)
- …to travel 50% of time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... role. **Line of Business:** TD Wealth **Job Description:** The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected,… more