- 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
- Huntington National Bank (Columbus, OH)
- Description Job Title Broker - Dealer Accountant 3 Reporting to the Business Segment Controller, this position will play a vital role in the broker - dealer ... with clearing broker 's back office system and work with Operations Manager to promptly resolve any problems. + Identify areas of risk and inefficiency… more
- PNC (Pittsburgh, PA)
- …We are looking to hire an AML Sanctions Advisor within PNC's Enterprise Advisory Broker Dealer team. Preferred Qualifications: . 5+ years of experience with AML ... . At least 1-2 yrs of direct experience with Broker Dealer Job Duties include, but are...Defense Risk, 2nd Line of Defense Risk, and Internal Audit to foster a culture of effective risk management.… 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
- TD Bank (Greenville, SC)
- …skills **Preferred Job Requirements:** + Experience in Securities + Experience in a Broker / Dealer environment + Capital Markets audit experience **Who We ... role. **Line of Business:** Audit **Job Description:** The Senior Audit Manager is accountable for providing specialized in-depth audit expertise and… 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 (IN)
- …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
- Scotiabank (New York, NY)
- …testing or audit . + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment banking, ... Manager , Compliance Testing **Requisition ID:** 214386 **Salary Range:**...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … 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 ... 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
- 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
- JPMorgan Chase (Plano, TX)
- 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
- Nuveen Investments (Dallas, TX)
- …is the Chief Compliance Officer of Nuveen Securities, LLC, a registered US broker - dealer , and Nuveen Canada Co., a regulated Canadian distribution entity. The ... the securities industry, regulatory environment, working for an investment adviser or broker - dealer . + Series 7 and Series 24 securities registrations required… 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
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... *COMPLIANCE CONFLICT OF INTEREST MANAGER * WHAT IS THE OPPORTUNITY? This position is...completion of VOL 1 milestones * Collaborate with Internal Audit (IA) validation of the effectiveness and sustainability of… more
- HSBC (Washington, DC)
- …daily sales blotters, e-mails, faxes and correspondence + Conduct on-site audits of broker / dealer field locations to ensure all processes meet regulatory and ... analytical, organizational and planning skills. + In-depth knowledge of Wealth broker - dealer including but not limited to; operational risk, technology,… more