- Coinbase (Sacramento, CA)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional...Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …every interaction, ensuring outstanding member experience. Adhere to all regulatory, broker - dealer , and institutional compliance standards-upholding ... inspire confidence and build lasting relationships. Proficiency in Microsoft Office and broker - dealer platforms. Why You'll Love It Here You'll work alongside a… more
- Wells Fargo (San Francisco, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more
- Wells Fargo (San Francisco, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more