- Coinbase (Phoenix, AZ)
- …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 (Phoenix, AZ)
- …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
- Edward Jones (Tempe, AZ)
- …best possible executions. To meet our goal, the Fixed Income Best Execution Manager is responsible for managing the Best Execution policies for Fixed Income trading ... industry organizations, such as SIFMA, Financial Information Forum (FIF), Bond Dealer Association (BDA), and internally with Regulatory Affairs, Legal, Compliance… more