- Coinbase (Sacramento, CA)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * 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
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas....Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Specialist to support the firm's Compliance Program. You will report to Manager -Compliance Operations + Develop and manage a Compliance Department activity ... in resolving issues involving new accounts set up with Operations and Accounting departments. + Monitor general department email...of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24… more