- Coinbase (St. Paul, MN)
- …Audit Committee decks and present at the Disclosure Committee meeting. * Lead the Maintain SEC reporting calendar and project manage the SEC reporting ... initiatives. * Responsible for the coaching, mentoring and management of the SEC reporting team, including across multiple time zones in a mostly asynchronous… more
- First National Bank of Omaha (Minneapolis, MN)
- …In partnership with the Head of Trading, ensure compliance with FINRA, MSRB, SEC , and firm trading policies across the desk. Partner with the Head of ... Desk, Sales Supervision Manager and Compliance to monitor trade activity, exception reporting , and surveillance reviews Assist in FINRA TRACE and MSRB regulatory… more