- Coinbase (Salt Lake City, UT)
- …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
- Guardian Life (Salt Lake City, UT)
- …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
- Zions Bancorporation (Salt Lake City, UT)
- …business lines and products may include the Company's Capital Markets division, Bank Dealer , Broker / Dealer , Trust Divisions, Municipal Advisors and Finance, ... talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer** **within the Market, Liquidity, Wealth Risk & Compliance … more
- Wells Fargo (Salt Lake City, UT)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... reviews and product and platform alignment + Receive direction from a manager and exercise independent judgment while developing understanding of compliance … more