- 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)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... 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
- 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
- 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
- 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)
- …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . + Regulatory financial reporting, and experience in treasury ... data, and championing automation tools to improve efficiency, accuracy, reporting, and compliance . The Sr Manager will assist in performing daily comprehensive… more
- City National Bank (Dallas, TX)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *SR AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The...Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk)Thrives in a dynamic team-based environment, effectively manages… more
- City National Bank (Dallas, TX)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk). Additionally, the position is responsible for maintaining… 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