- Coinbase (Columbus, OH)
- …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 (Columbus, OH)
- …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
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- JPMorgan Chase (Columbus, OH)
- …meets the highest standards. Job Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and… more
- Robert Half Office Team (Columbus, OH)
- Description We are looking for an experienced Operations Associate to support the institutional broker - dealer operations team at a large financial ... will oversee client onboarding, asset movement, account maintenance, and ensure compliance with organizational policies. This position offers the opportunity to… more
- Coinbase (Columbus, OH)
- …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