• Manager , Broker - Dealer…

    Coinbase (Columbus, OH)
    …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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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Columbus, OH)
    …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 (09/10/25)
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  • Sales Manager , Retirement Solutions

    Wright-Patt Credit Union Inc. (Beavercreek, OH)
    …clients, community organizations, select employer groups, industry organizations, the broker / dealer , regulators, wholesalers, and other key outside ... The Sales Manager is responsible for the credit union's member...business units are operating efficiently and reliably, are in compliance with applicable laws, regulations, and rules, have appropriate… more
    Wright-Patt Credit Union Inc. (10/15/25)
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