- 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
- Charles Schwab (Westlake, TX)
- …to improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a ... management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT… more
- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance...to monitor regulatory compliance programs. + Advises and influences senior leaders on managing regulatory risk associated related to… more
- Huntington National Bank (Chicago, IL)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... also provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in… more
- Charles Schwab (Lone Tree, CO)
- …across three banks, an off-balance sheet sweep deposit portfolio, and a broker dealer . The Senior Manager will develop strategy and analysis for ... and $85 billion in off-balance-sheet brokered deposit agreement notional investments. This Senior Manager individual contributor role will report to the… more
- PNC (Pittsburgh, PA)
- …an opportunity to contribute to the company's success. As a Business Analytics Manager Senior - Foreign Exchange within PNC's Investment Operations organization, ... The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will...integrity, manages risk and meets the needs of the senior leadership. + Directing, motivating, developing and managing the… 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 (Indianapolis, IN)
- …in compliance with firm policies and applicable regulations. What You Will Do: The Manager will report to the SVI Investigations Senior Team Manager ... section of Financial Crimes Risk Management, the purpose of Senior and Vulnerable Investor (SVI) Investigations is to protect...plus (but not required). + Experience with a securities broker - dealer is a plus (but not required).… more
- Bank of America (Charlotte, NC)
- …matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... Senior Audit Manager Charlotte, North Carolina **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To… 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