- Charles Schwab (Westlake, TX)
- …Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Manager . The Broker - Dealer /Asset Management team provides internal audit ... back office operational functions. Reporting to a Director of the Broker - Dealer /Asset Management enterprise team, the Internal Audit Manager will have… more
- Charles Schwab (Austin, TX)
- …middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- PNC (Dallas, TX)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… more
- USAA (San Antonio, TX)
- …+ Subject-matter-expert level of business acumen in the areas of annuity business operations , broker dealer sales processes and paperwork, sales suitability, ... in annuity operations support and service, preferably within a broker - dealer or insurance company utilizing third-party annuities distribution. + 2… more
- Charles Schwab (Westlake, TX)
- …liquidity and collateral requirements + Extensive experience and knowledge required in broker / dealer operations + Experienced with treasury functions ... and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for… more
- Charles Schwab (Westlake, TX)
- …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in treasury ... the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios...audits of liquidity practices. We are seeking a Sr. Manager LRR to enhance and streamline our operations… more
- City National Bank (Dallas, TX)
- …* Working knowledge of risk management and/or internal control techniques of investment operations , broker dealer and wealth management is beneficial. ... regulatory requirements and Bank policies, and the effectiveness of operations of the BSA/AML function. The Senior Manager... operations of the BSA/AML function. The Senior Manager will be responsible for all aspects of the… 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 ... a Glance** We are excited to bring on a ** Manager ** to join the **Complex Services** team supporting our...5+ Years of experience in Client Customer Support and Operations that directly aligns with the specific responsibilities for… more
- Charles Schwab (Austin, TX)
- …work onsite in the specified locations. Charles Schwab is the largest publicly traded broker - dealer in the financial services industry. We offer our Retail and ... account-related communications to clients across many different business units. Our new Senior Manager will also be an integral part of our robust and responsive… 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 ... are excited to bring on a **Retirement Call Center Manager ** to support the Retirement Plan Services organization in..._Nice-to-have experience (Preferred)_ : + Retirement plan knowledge and operations experience + FINRA Series 6 license + Project… more