- 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
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Manager , you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- Charles Schwab (Westlake, TX)
- …and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for ... ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and...build robust analytics to support collateral pledging activities + Broker dealer subject matter expert for items… 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 ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Charles Schwab (Westlake, TX)
- …company liquidity management policies, ensuring compliance at all times, and escalating to senior management as necessary. The Treasury Manager position is an ... + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Good SQL and Excel Skills; + Experience with Tableau and/or… more
- City National Bank (Dallas, TX)
- …and Bank policies, and the effectiveness of operations of the BSA/AML function. The Senior Manager will be responsible for all aspects of the audit, including ... the planning, execution, and reporting phases. The Senior Manager will also be involved in...risk management and/or internal control techniques of investment operations, broker dealer and wealth management is beneficial.… more
- Atria Wealth Solutions (Fort Worth, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... in the country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more
- Lincoln Financial (Austin, TX)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... strong relationships, and ability to execute effectively. This is not a project manager role. **What you'll be doing** What you'll be doing * Provides specialized… more
- PNC (Dallas, TX)
- …company's success. As a Business Systems Analyst within PNC's Technology Capital Markets / Broker Dealer organization, you will be based in Pittsburgh, PA; ... a regular basis. Some responsibilities may be performed remotely, at the manager 's discretion. **PNC will not provide sponsorship for employment visas or participate… more