- Charles Schwab (Westlake, TX)
- …The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Manager . The Broker - Dealer /Asset Management team provides ... of the Broker - Dealer /Asset Management enterprise team, the Internal Audit Manager will have responsibility for the independent and objective assurance… more
- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit ... team is seeking a Senior Auditor (Senior Specialist). The Broker - Dealer /Asset Management team provides internal audit...office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management… more
- M&T Bank (Clanton, AL)
- …institutions. Assist in oversight of Wealth, Institutional Client Services and Institutional Broker dealer testing for state, federal, domestic and possibly ... levels of compliance and business unit management under the direction of a Manager . + Lead collaborative testing team discussions with all levels of management where… more
- Scotiabank (New York, NY)
- …functions both regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with ... Manager , US Finance & Regulatory Reporting - Audit **Requisition ID:** 208343 **Salary Range:** 110,700.00 - 211,800.00...work environment. **What You'll Bring** + 4+ years of banking/ broker - dealer experience in audit and/or… more
- Citigroup (New York, NY)
- The Senior Audit Manager is a senior level...Internal Audit to ensure adequate coverage of broker dealer requirements. + Coordinating on regulatory ... role focusing on coordinating the assurance coverage of the Broker Dealer - Citi Global Markets Inc.... audit reports and department-wide issues for US broker dealer applicability. + Review and approve… more
- Scotiabank (New York, NY)
- …Markets, Compliance, Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with ... Manager , US Internal Control and Global Wholesale Operations...environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit , risk,… more
- Charles Schwab (Westlake, TX)
- …financial services-related audit experience with growing responsibility. Corporate, Broker Dealer , Bank Operations, or Regulatory Compliance experience ... and internal controls. The Corporate enterprise team is seeking an Internal Audit Manager . The Corporate team is responsible for execution of audits over the… more
- City National Bank (Los Angeles, CA)
- *SR. AUDIT MANAGER - TREASURY/FINANCE* WHAT IS THE OPPORTUNITY? Responsible for managing complex audits and supervising auditors assigned to the audit in one ... benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits… more
- Ankura (CA)
- …consulting, root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, ... progressively responsible experience having attained the Senior Manager or Manager level in an audit firm; . PCOAB or SEC regulatory experience is a plus; .… more
- Capital One (New York, NY)
- …Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional ... an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer...least 7 years of experience working in compliance, legal, audit , operations or finance within financial services OR at… more
- PNC (Pittsburgh, PA)
- …at manager 's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and...Compliance and Legal. * Participate in the annual year-end audit with our external auditors - preparing and reviewing… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This...required, under the management and oversight of a Team Manager . Is responsible for implementing policies and procedures and… more
- SMBC (New York, NY)
- …The role's coverage of business lines includes traditional banking (including digital bank), swap dealer and broker dealer . Product coverage includes but is ... and services introduced/proposed by sponsors + Engage with internal audit during annual audit of liquidity risk; remediate findings as needed + Enhance… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... Senior Manager , Markets Compliance Officer **Requisition ID:** 204138 **Salary...escalate compliance issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance to… more
- Charles Schwab (Lone Tree, CO)
- …Financial Responsibility Rule requirements **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, ... assets with Schwab. The SCO is looking for a Manager to support the Business Process (BP) portions of...**What you have** + Bachelor's degree in Accounting, Internal Audit , Information Systems, or Finance required + Four or… more
- PNC (Pittsburgh, PA)
- …swaps products (eg, interest rate derivatives, commodity derivatives, foreign exchange) and/or broker dealer products (eg, fixed income securities). * Has ... regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Preferred locations include Pittsburgh, PA & Houston,...knowledge of NFA/CFTC swap dealer requirements and/or FINRA/SEC broker … more
- Citigroup (Jacksonville, FL)
- …staff development and ability to delegate + In-depth knowledge of Bank and Broker - Dealer businesses + Strong knowledge and experience in complex investment ... identify trends, themes and areas requiring improved controls + Drive Manager 's Control Assessment monitoring, quarterly approvals and improvements required and… more