- 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
- 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 ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… 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)
- …and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to ... Description We are looking for an experienced Internal Audit Manager to lead and develop the internal audit function...10-15 years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge… more
- Charles Schwab (Westlake, TX)
- …experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital to ... 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
- Bank of America (Addison, TX)
- …on volumes. **Required Skills:** + Minimum two years of experience working in broker dealer operations with knowledge of common operational issues, ... Managed Account Trading Operations Analyst Dallas, Texas;Addison, Texas **To proceed with...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… 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. ... for an experienced Controller to oversee and optimize accounting operations for our organization in Dallas, Texas. The ideal...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more