- 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)
- …external reporting requirements for applicable subsidiary entities, including Schwab's broker - dealer , banks, and international subsidiaries. The SEC Reporting ... Financial Disclosures (TCFD), and other relevant frameworks. The Senior Manager oversees compliance with mandatory climate reporting requirements,… more
- Charles Schwab (Lone Tree, CO)
- …applications; . Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; . Advanced skills in Excel; . Knowledge of Python or ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the… 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)
- …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
- Wells Fargo (Greenwood Village, CO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... and effective partnerships with their Consumer Bank Region Executive and District Manager colleagues to drive consistent Premier routines and outcomes. **In this… more