- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT ... Auditor (Senior Specialist, Internal Audit - Technology is our internal title) primarily responsible for audit activities covering BDAM focused on key application risks and controls. Application audits focus on automated functionality and data integrity that… more
- Charles Schwab (Austin, TX)
- …efficiency of governance processes, risk management, and internal controls. The Broker -Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior ... Specialist). The Broker -Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab's… more
- Marex (New York, NY)
- …+ Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval. + Ensure that appropriate CDD / KYC and AML ... checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures + Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies. + Data… more
- Mizuho Corporate Bank (New York, NY)
- …requires wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing projects and ... A ssurance P rogram with various regulatory reports, especially broker dealer reg ulatory report s such as FOCUS,...reporting quality assurance or internal audit + knowledge of broker dealer regulatory reporting especially FOCUS report + knowledge… more
- Marex (New York, NY)
- …Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed ... in line with below responsibilities: + Provide Compliance Advisory services to broker -dealer business lines. + Complete or assist in completing broker -dealer… more
- Axis (Kansas City, MO)
- …for candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations Group Job Family: Operations-Producer Compliance ... contribute to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal...culture of integrity and accountability. By leading a dedicated Broker Compliance team, you will provide strategic guidance and… more
- JPMorgan Chase (Plano, TX)
- …striving to be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry knowledge to ... + Manage exposure to a client base consisting of North American Banks, Broker Dealers, Fintechs, Credit Unions, Card Processors, and other financial institutions +… more