- 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
- Charles Schwab (Austin, 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
- PNC (Dallas, TX)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… 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 ... and objective assurance activity designed to improve the organization's operations and compliance with key regulations by evaluating and improving the efficiency of… more
- Guardian Life (Austin, TX)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Wells Fargo (Bee Cave, TX)
- …of financial services industry experience + Experience in branch office supervision, compliance , broker - dealer governance, sales supervision + Experience ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- PNC (TX)
- … Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are ... opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail...Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may… more
- Lincoln Financial (Austin, TX)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **The Role at a Glance** We are excited to bring on an accomplished ** Compliance Consultant** to our Retirement Plan Services/Product team to work in our Fort Wayne… more
- Lincoln Financial (Austin, TX)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- USAA (San Antonio, TX)
- …in annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. + Excellent relationship management skills and ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more