- 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
- Vanguard (Malvern, PA)
- Broker / Dealer National Accounts, Product and Platform Partnerships: + Interacts with the product and research teams at national broker /dealers to understand ... and/or registration (eg FINRA, state, SFC). These will be determined by Compliance based on role-specific duties. Special Factors Sponsorship Vanguard is offering… more
- Guardian Life (Bethlehem, PA)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... processes, and technology + Collaborate with various internal departments including compliance , licensing, operations, and our internal clearing firm **You have** +… more
- 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 (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
- Vanguard (Malvern, PA)
- …high-impact legal agreements-from securities lending and repurchase transactions to broker / dealer trading and platform documentation. You'll partner with ... various legal documents for securities lending, repurchase agreements, as well as broker / dealer trading and platform agreements and supporting documentation. +… more
- 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
- 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
- Equitable (Philadelphia, PA)
- …/ knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer . + Self-Starter, Strong organizational, analytical, investigative / auditing ... Regional Compliance Manager ( 250000LL ) **Primary Location** :...unlock your potential? This role is responsible for providing compliance support to Equitable' s branch locations both regionally… more
- PNC (Pittsburgh, PA)
- …Senior preference would be to have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses are preferred or willingness to ... and have an opportunity to contribute to the company's success. As a Compliance Program Specialist Senior, within PNC's Retail Organization, you will be supporting… more