- Coinbase (Washington, DC)
- …highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Senior Associate , you will play a critical… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- Coinbase (Washington, DC)
- …job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC and FINRA rules. * Provide ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- T. Rowe Price (Owings Mills, MD)
- …an expert level of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong analytical skills with attention ... to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is...making and negotiation skills + Demonstrated ability to influence senior leadership and peers + Demonstrated ability to prioritize… more
- Lincoln Financial (Washington, DC)
- …**Requisition #:** 75012 **The Role at a Glance** We're excited to bring on a Senior Associate Actuary, Life & MoneyGuard Pricing to play an integral role in ... expansion * Analyze risk & summarize key findings for senior leaders to drive strategic pricing strategies * Collaborate...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… more