- Charles Schwab (Lone Tree, CO)
- …Schwab Corporation and related subsidiaries. Within the Corporate Controller's Department, Broker - Dealer Accounting is responsible for maintaining the income ... recognizing, analyzing, and explaining the various income streams of the broker - dealer . Since Schwab's revenue model is highly complex and dependent on… more
- Charles Schwab (Lone Tree, CO)
- …- Dealer /Asset Management enterprise team is seeking a Senior Auditor ( Senior Specialist ). The Broker - Dealer /Asset Management team provides ... and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior … more
- PNC (Pittsburgh, PA)
- …and have an opportunity to contribute to the company's success. As an Accounting Specialist Senior within PNC's Capital Markets Finance organization, you will be ... at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... of accounting and financial reporting process + Good knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1)… more
- SMBC (Jersey City, NJ)
- …to its employees. **Overview** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services to ... reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... working in the financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus) + BA/BS required + Working knowledge of… more
- Charles Schwab (Omaha, NE)
- …us "challenge the status quo" and transform the finance industry together. The Senior Specialist - Fraud Investigations, plays a key individual contributor role ... House) and BillPay transactions for both the Bank and Broker Dealer products that Schwab offers. **What...products that Schwab offers. **What you're good at:** The Senior Specialist is responsible for conducting high… more
- Charles Schwab (Lone Tree, CO)
- …all audited financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting ... multiple priorities. + Strong written and oral communication skills. + Relevant broker / dealer , bank or other financial services experience a plus. + Strong… more
- Wells Fargo (Yardley, PA)
- **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment ... are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs… more
- Vanguard (Scottsdale, AZ)
- …Business Activity ("OBA") and personal Conflict of Interest ("COI") requests for broker - dealer and investment advisors pursuant to FINRA and SEC regulations ... trends for compliance and reporting. Presents key findings and recommendations to senior management. + Develops and delivers compliance training and education to… more
- Charles Schwab (Westlake, TX)
- …and internal controls. The Corporate internal audit enterprise team is seeking a Senior Auditor ( Senior Specialist ). The Corporate team is responsible ... years of financial services-related audit experience with growing responsibility. Corporate, Broker Dealer , Bank Operations, or Regulatory Compliance (including… more
- Atria Wealth Solutions (San Diego, CA)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... in their practices. We are looking for an Account Specialist to join our amazing tech team. To achieve...testing functions, etc. + Function as a liaison with senior compliance functional leads to facilitate collaboration across the… more