- 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 ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Guardian Life (Springfield, IL)
- …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
- Deloitte (Chicago, IL)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Manager - Capital Markets Operations and Technology Our...leverage emerging technology, impacting trading strategy, operational efficiency, regulatory compliance , performance, and market reputation. Join us to shape… more
- Wells Fargo (Chicago, IL)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... role:** Wells Fargo is seeking a Vice President, Lead Corporate Banking Relationship Manager as part of the Industrials Corporate & Investment Banking team. Learn… more
- Deloitte (Chicago, IL)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... opportunities to build credibility with and add value to our clients. As a Manager , you will have opportunities to: + Lead project teams and junior practitioners in… more
- Wells Fargo (Chicago, IL)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... is seeking a Commercial Real Estate ("CRE") Vice President - Lead Transaction Manager to assume end-to-end accountability of transaction execution and success of CRE… more
- Wells Fargo (Chicago, IL)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... and effective partnerships with their Consumer Bank Region Executive and District Manager colleagues to drive consistent Premier routines and outcomes. **In this… more
- Ankura (Chicago, IL)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... company is licensed, Ankura can serve as the overall state regulatory manager in the US to ensure compliance with a myriad of state rules and regulations. Our … more