- Charles Schwab (Westlake, TX)
- …Director, Legal Counsel to support multiple retail-focused broker-dealer and investment adviser business units and work daily with managers, directors, and managing ... 5 years' experience practicing law at a major law firm representing financial services companies, in-house with a large broker-dealer and/or investment adviser… more
- Palo Alto Networks (Plano, TX)
- …as a unique individual. Knowing we all have different needs, our development and personal wellbeing programs are designed to give you choice in how you are ... account with over 1,000 eligible items selected by employees, our mental and financial health resources, and our personalized learning opportunities - just to name a… more
- Citigroup (Irving, TX)
- …experience. + Strong knowledge of wealth management, broker dealer, investment adviser functions preferred. + Ideal candidate would have experience auditing ... financial advisors and supervisory functions of broker dealer or investment adviser firms. + Perform moderately complex audits including drafting audit reports,… more
- Charles Schwab (Southlake, TX)
- …support management's supervisory responsibility and its efforts to achieve compliance with financial services rules and regulations, and policies of the Company. We ... conducting risk-based compliance testing within our Bank and Trust Services, Workplace Financial Services, and Enterprise Risk programs. The Senior Manager is an… more
- Grant Thornton (Dallas, TX)
- …transition, and assisting in the separation of the business - for financial sponsors and corporate clients + Supporting SEC regulatory filings for carve-outs ... market trends in order to be a proactive problem solver and sought-after adviser to clients and colleagues + Assisting audit teams in evaluating accounting policies… more
- Charles Schwab (Southlake, TX)
- …have** Required Qualifications: + Minimum of 8 years of experience within financial services + 5-8 years of experience in a Regulatory Testing/Examiner/Audit role ... licensing and/or compliance certifications (eg, FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS) + General understanding of financial… more
- Cognizant (Dallas, TX)
- …with potential to impact the client's business - Acts as a **trusted adviser to clients, builds and leverages C-level** account networks, and maintains excellent ... the **Cognizant Way to Lead,** which means operating with ** Personal Leadership** (building trust, collaboration, and inclusion), **Organizational Leadership**… more