- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Coinbase (Austin, TX)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- 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… more
- JPMorgan Chase (Fort Worth, TX)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… more
- Robert Half Management Resources (Dallas, TX)
- …to lead and develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building audit frameworks that ... effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to design… more
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise in ... broker - dealer compliance, leveraging industry knowledge to maintain standards and address challenges. Requirements * Proven experience in compliance monitoring… more
- Scotiabank (Dallas, TX)
- …tests to ensure adequate controls over finance functions (eg, banking & broker - dealer activities/reporting) and validate source documents. + Maintain a thorough ... of appropriate audit plans/activities for assigned areas (eg, banking & broker - dealer regulatory reporting, financial reporting, product control, human… more
- Principal Financial Group (Addison, TX)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial professionals,… more
- Atria Wealth Solutions (Fort Worth, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more