• Manager , Broker - Dealer…

    Coinbase (Hartford, CT)
    …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
    Coinbase (10/30/25)
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  • Manager - Capital Markets Operations…

    Deloitte (Stamford, CT)
    Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive ... any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology… more
    Deloitte (12/17/25)
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  • Manager - Capital Markets Surveillance

    Deloitte (Stamford, CT)
    …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...with and add value to our clients. As a Manager , you will have opportunities to: + Lead project… more
    Deloitte (12/21/25)
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  • Audit Manager

    NatWest Markets (Stamford, CT)
    … role + Experience in financial markets or investment banking is required; Broker - Dealer experience is a strong plus + Demonstrated experience in regulatory ... Audit Manager LocationStamford,United States Job typePermanent |Contract typeFull Time...may be assigned as necessary to ensure the proper operations of the department and the business._ As an… more
    NatWest Markets (12/03/25)
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  • Trade Operations Support Specialist

    TD Bank (Hartford, CT)
    …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating flagged… more
    TD Bank (01/03/26)
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  • Trade Operations Senior Support Specialist

    TD Bank (Hartford, CT)
    …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and operational… more
    TD Bank (01/03/26)
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