- Coinbase (Austin, TX)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- 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 (Westlake, 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
- 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 ... management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have… more
- Robert Half Management Resources (Dallas, TX)
- …operational effectiveness. Requirements * 10-15 years of experience in internal audit, compliance , or broker - dealer operations. * Extensive knowledge of ... Description We are looking for an experienced Internal Audit Manager to lead and develop the internal audit function...develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building… 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
- Charles Schwab (Westlake, TX)
- …Extensive experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital ... be in the office 4 days a week. The ** Manager of Treasury Settlement Services** (TSS) is primarily responsible...in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness… more
- Charles Schwab (Westlake, TX)
- …well-established firms. Hundreds of large financial advisors from the wirehouse, independent broker dealer , and other channels decide to make the transition ... of Schwab and third-party experts in areas such as legal and compliance , technology, marketing, real estate, infrastructure, and healthcare. The role is **_not_**… more
- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... bring a strong background in audit, financial reporting, and compliance , with a proven ability to enhance processes and...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more
- Ankura (Dallas, TX)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... company is licensed, Ankura can serve as the overall state regulatory manager in the US to ensure compliance with a myriad of state rules and regulations. Our … more