- Coinbase (Annapolis, MD)
- …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
- T. Rowe Price (Owings Mills, MD)
- …a difference in ways that matter to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is responsible for ensuring ... of mutual funds, exchange traded funds, private placement agent activities, dealer / manager of business development company, and introducing broker / dealer … more
- Guardian Life (Annapolis, MD)
- …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