- Coinbase (Des Moines, IA)
- …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 (Des Moines, IA)
- …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
- Wells Fargo (West Des Moines, IA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... Job Title: Wealth Project Manager Business Unit: Brokers International Financial Services Location:...businesses and serve their customers through innovative products, marketing, compliance , and operational support. In June of 2021, we… more