• Manager , Broker - Dealer…

    Coinbase (Harrisburg, PA)
    …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 (Harrisburg, PA)
    …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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  • Trade Operations Support Specialist

    TD Bank (Exton, PA)
    …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 ... and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements. **Depth & Scope:** + Collaborates with the manager… more
    TD Bank (10/30/25)
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  • Trade Operations Senior Support Specialist

    TD Bank (Exton, PA)
    …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 ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more
    TD Bank (10/18/25)
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