• Manager , Broker - Dealer…

    Coinbase (Denver, CO)
    …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
    Coinbase (10/30/25)
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  • Sr Manager , Liquidity Analytics

    Charles Schwab (Lone Tree, CO)
    …applications; . Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; . Advanced skills in Excel; . Knowledge of Python or ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the… more
    Charles Schwab (12/17/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Denver, CO)
    …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
    Guardian Life (12/10/25)
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