- Charles Schwab (Westlake, TX)
- …+ 5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... to improve the efficiency of governance processes, risk management , and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking… more
- Charles Schwab (Austin, TX)
- …3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit ... to improve the efficiency of governance processes, risk management , and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking… 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 ... all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive... and risk functions to the Board and Executive Management , to evaluate whether risks are adequately controlled, and… more
- PNC (Chicago, IL)
- …Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management , Swap Dealer & Broker Dealer . This position is primarily based in ... ensure they adhere to and support PNC's Enterprise Risk Management Framework. **Qualifications** Successful candidates must demonstrate appropriate knowledge,… more
- Marex (New York, NY)
- …completing broker - dealer guidance, related to business change proposals, for management review. + Manage broker - dealer Business Line management ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data,… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... As a Wealth Management Financial Products and Regulatory Attorney - Vice...- Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide critical analysis and… more
- Capital One (Mclean, VA)
- …to ensure accurate reporting and adherence to regulatory guidance + Review intercompany management fees + Other broker - dealer accounting responsibilities as ... Manager, Broker Dealer Accounting Does the idea...Manager, Broker Dealer Accounting Does the idea of working with...+ At least 2 years of experience in people management **Preferred** **Qualifications:** + Master's degree in Finance or… more
- Principal Financial Group (Des Moines, IA)
- …financial services industry, with extensive senior-level expertise in broker - dealer and investment advisor compliance, risk management , operations, ... We're seeking an accomplished leader to oversee our Individual Solutions RIA and Broker - Dealer Supervisory Program. This high-impact role reports directly to the… more
- SMBC (New York, NY)
- …as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented ... various committees such as the New Product, Underwriting, Risk Management , Compliance, IT Risk and Training committees. The Compliance...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- MUFG (New York, NY)
- …to all Enhanced Prudential Standards requirements for US Broker Dealer including Intraday monitoring, collateral management , cash flow forecasting, stress ... provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of...dealer treasury functions including funding and liquidity risk management , asset liability management , interest rate risk… more