- Coinbase (St. Paul, MN)
- …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
- US Bank (Minneapolis, MN)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...Corporate and Commercial Banking business lines The Senior Audit Manager also has strong knowledge of Compliance … more
- Guardian Life (St. Paul, MN)
- …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
- US Bank (St. Paul, MN)
- …and repo trade settlement. + Overnight Funding and intraday liquidity Management for the Broker Dealer (for both the Retail and Capital Markets business units). ... background in capital markets operations, with a focus on fixed income settlements, dealer , repo and firm funding activity. + Leading daily operations of the… more