- Coinbase (Denver, CO)
- …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
- Charles Schwab (Lone Tree, CO)
- …to prepare and review, and this position reports to a Director, Audits and SOX Compliance . This Senior Team Manager has up to three direct reports. This position ... ability to develop talent **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, varied… more
- Guardian Life (Denver, CO)
- …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
- Charles Schwab (Lone Tree, CO)
- …all audited financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting ... reporting principles and SEC regulatory requirements, including XBRL. + Relevant broker / dealer , banking, or other financial services accounting experience a… more
- Charles Schwab (Lone Tree, CO)
- …assessments that they are assigned to prepare, and this position reports to a Team Manager , BP Audits and SOX Compliance . This position is located in Lone Tree, ... Financial Responsibility Rule requirements **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments,… more