• Manager, Broker - Dealer…

    Coinbase (Harrisburg, PA)
    …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
    Coinbase (10/30/25)
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  • Investigator II

    Citizens (Pittsburgh, PA)
    …relevant experience in similar investigations capacity. + Five (3) years of broker - dealer , compliance , financial or operational audits/investigations or ... laws. + Ensure clear knowledge and understanding of SAR Program compliance . Qualifications, Education, Certifications and/or Other Professional Credentials + Five… more
    Citizens (11/30/25)
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  • Compliance Analyst

    Guardian Life (Bethlehem, PA)
    …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at ... standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the… more
    Guardian Life (11/26/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Harrisburg, PA)
    …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
    Guardian Life (12/10/25)
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  • Accounting Associate Senior - Capital Markets…

    PNC (Pittsburgh, PA)
    …will be based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
    PNC (12/06/25)
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  • VMC Treasury Liaison

    Vanguard (Malvern, PA)
    …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the ... into and withdrawals from the special reserve account in compliance with SEC rule 15c3-3 (Customer Protection Rule). VMC...reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge… more
    Vanguard (12/25/25)
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  • Wealth Management Advisor

    Equitable (Philadelphia, PA)
    …achieve your goals through: + Our open-architecture platform for client solutions + Our broker / dealer powered by one of the world's largest broker /dealers ... programs + Our competitive payouts + Our operation and compliance infrastructure support * LPL Financial, member FINRA, SIPC,...* LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they… more
    Equitable (11/01/25)
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  • Senior Counsel, Cash Management Products

    Vanguard (Malvern, PA)
    …The ideal candidate will have expertise and knowledge in financial markets and broker - dealer products and services, along with brokerage and banking regulations ... support regulatory exams, inquiries and actions. + Collaborate with Compliance , Risk, Audit and other shared service functions, to...4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and… more
    Vanguard (12/14/25)
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  • Attorney/Lawyer

    Robert Half Legal (Philadelphia, PA)
    …and regulations, including those related to private placements, investment advisors, and broker - dealer activities. * Ability to thrive in a fast-paced, ... as well as laws and regulations governing investment funds, advisers, and broker -dealers. * General knowledge of legal structuring and tax issues associated with… more
    Robert Half Legal (12/30/25)
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  • Senior Consultant - Capital Markets Surveillance

    Deloitte (Philadelphia, PA)
    …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Trade surveillance, communications surveillance, control room / information barriers compliance , or 1 st line supervision/control. Strong familiarity with… more
    Deloitte (12/21/25)
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