- Coinbase (Springfield, IL)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- Wells Fargo (Chicago, IL)
- …subject to statutory disqualification are not eligible to be associated with a FINRA -registered broker - dealer . Successful candidates must also meet and ... Support team, and Client Associates in various aspects of operations , compliance, and technology Collaborate with the Brokerage Support...+ US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66… more
- Robert Half Finance & Accounting (Chicago, IL)
- …while emphasizing the importance of a work-life balance. Position Purpose: The Broker - Dealer Regulatory Reporter is responsible for compiling, analyzing, and ... accurate regulatory reports to relevant agencies, including the SEC, FINRA and CME, ensuring the brokerage firm adheres to...Required: + 3-5 years of accounting experience, ideally in broker - dealer regulatory reporting + Deep understanding of… more
- US Bank (Chicago, IL)
- …Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 ... in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission… more
- Deloitte (Chicago, IL)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Manager - Capital Markets Operations and Technology Our Enterprise Operations ...previous work with major financial services regulators (eg, SEC, FINRA , MSRB, FRB, OCC) or industry utilities (eg, NSCC,… more
- Wellington (Chicago, IL)
- …CFTC, FINRA , NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, including ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker / dealer support, US retail fund distribution, interval funds, tender… more
- Deloitte (Chicago, IL)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Our Enterprise Operations & Risk offering enables clients to achieve...previous work with major financial services regulators (eg, SEC, FINRA , CFTC, OCC, FCA, DOJ, FRB) Candidates joining our… more
- JPMorgan Chase (Chicago, IL)
- …services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are made ... role acts as a bridge between business development, sales, product, and operations teams, driving project delivery and supporting field adoption to achieve growth… more