- Charles Schwab (Austin, TX)
- …and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior...draft audit observations for review by the Internal Audit Manager / Senior Manager (and above levels)… more
- USAA (San Antonio, TX)
- …impactful. **The Opportunity** USAA is seeking a talented Financial Institutions Relationship Manager Senior to manage and provides operational oversight of ... in annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. + Excellent relationship management skills and… more
- Charles Schwab (Westlake, TX)
- …regulatory and industry environment. We are seeking a highly organized and results-oriented Senior Manager to join the Retail Supervision & Risk Management ... and governance , and delivering consistent high quality results. **Key Responsibilities** The Senior Manager , Retail Supervision & Risk Management role will be a… more
- Charles Schwab (Westlake, TX)
- …have** Required Qualifications + 10+ years' relevant financial services experience, including broker dealer and retail experience + 8+ years supervisory, risk, ... business goals as well as the regulatory and industry environment. The Senior Team Manager , Retail Business Unit Risk will focus on risk management activities… more
- Charles Schwab (Westlake, TX)
- …selected candidate for this role to work on site in the specified locations. ** Senior Manager Strategic Planning, Banking and Trust Services** will primarily be ... (eg, Retail, Advisor Services), and legal entities (eg, bank, broker - dealer ). The core focus of the role...growth opportunities at Schwab. The goal is to enable senior leaders across the firm to understand the 'so… more
- Charles Schwab (Westlake, TX)
- …Corporation and various subsidiaries and performs capital analysis on strategic initiatives. The TCS Senior Manager will play a key role in the overall strategic ... testing, controllers, 2nd line of defense, etc.), the TCS Senior Manager will be part of the...managing bank holding company capital, bank subsidiary capital, and broker - dealer net capital + Excellent quantitative and… 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 experience at ... part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue...an insurance-affiliated broker / dealer as a plus. + Prior examination,… more
- Scotiabank (Dallas, TX)
- …Knowledge of purchase order processing and approval protocols necessary + Banking or broker dealer experience is a positive **Interested?** If your experience is ... support, and posting and preparing of invoices for approval by the Senior Facilities Manager . + Liaise with Human Resources, Technology, and business managers to… more
- Charles Schwab (Westlake, TX)
- …organization; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Good SQL and Excel Skills; + Experience with ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- City National Bank (Dallas, TX)
- …AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth ... Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets,… more