- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... cashflow distributions. Review budgets + Review third-party inspections and reports in compliance with Low Income Housing Tax Credit (LIHTC) regulations + Assist… more
- City National Bank (Jersey City, NJ)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... *SR. AUDIT MANAGER - TREASURY/FINANCE* WHAT IS THE OPPORTUNITY? Responsible for...information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team. This is your opportunity to play a crucial role in enhancing our… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... We are on the lookout for a talented Audit Manager to join our Connected Commerce & Consumer & Community Bank Strategy - Internal Audit team. This is your… more
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... solutions to meet their generational wealth management needs. As a Supervisory Manager in JP Morgan Wealth Management, you will exhibit leadership and operational… more
- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control, risk… more
- Charles Schwab (Westlake, TX)
- …well-established firms. Hundreds of large financial advisors from the wirehouse, independent broker dealer , and other channels decide to make the transition ... of Schwab and third-party experts in areas such as legal and compliance , technology, marketing, real estate, infrastructure, and healthcare. The role is **_not_**… more
- Charles Schwab (Lone Tree, CO)
- …Support the transformation of reporting into a strategic tool for optimizing bank and broker dealer functions. **What you have** + 5+ years relevant experience ... to detail: the ability to make accurate evaluative judgments and ensure compliance with internal and regulatory requirements. + Bachelor's degree required. **What's… more
- TD Bank (Greenville, SC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more