- Coinbase (Springfield, IL)
- …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
- Huntington National Bank (Chicago, IL)
- …or related experience Preferred Qualifications: + Bachelor's Degree + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + Proven ... Description The Institutional Sales Support Associate plays a vital role...information and/or transaction details in relevant systems and ensures compliance with standard regulations and processes. + Delivers scalable,… more
- Wellington (Chicago, IL)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on...legal team that collaborates closely with our business and Compliance colleagues to advance key initiatives of the firm.… more
- JPMorgan Chase (Chicago, IL)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... across departments. + JD or educational equivalent required. + Compliance with relevant licensing requirements. **Preferred Qualifications, Capabilities, and… more
- Coinbase (Springfield, IL)
- …instruments accounting* within a financial institution (eg, investment bank, hedge fund, broker - dealer ). * Strong analytical and problem-solving skills, with the ... multiple priorities in a dynamic, fast-paced environment. * Experience with SOX compliance within a financial services context. * Proficiency with large ERP systems… more