- Coinbase (Washington, DC)
- …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 (Washington, DC)
- …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
- Capital One (Mclean, VA)
- …in IRD space + 5+ years of experience working at a financial institution, Bank or Broker Dealer + Proficient in the use of Bloomberg, Excel, and Visual Basic + ... Front Office Trading ( Manager Level) This role sits within the ALM...Those projects could include new product testing, onboarding new dealer relationships, amending existing legal agreements, etc. + Role… more
- TD Bank (Vienna, VA)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more
- Ankura (Washington, DC)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent ... from case assessment through expert testimony, as well as compliance verification services following resolution of the matter. More...more years of progressively responsible experience having attained the Manager level in an audit firm; . PCOAB or… more