• Manager , Broker - Dealer…

    Coinbase (Austin, TX)
    …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
    Coinbase (10/30/25)
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  • Internal Audit Manager , Broker…

    Charles Schwab (Westlake, TX)
    …Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Manager . The Broker - Dealer /Asset Management team provides internal audit ... back office operational functions. Reporting to a Director of the Broker - Dealer /Asset Management enterprise team, the Internal Audit Manager will have… more
    Charles Schwab (10/18/25)
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  • Senior Auditor, Broker Dealer /Asset…

    Charles Schwab (Westlake, TX)
    …middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
    Charles Schwab (10/30/25)
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  • Senior IT Auditor, Broker Dealer…

    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 Senior ... management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have… more
    Charles Schwab (10/16/25)
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  • Senior Manager , Liquidity Analytics

    Charles Schwab (Westlake, TX)
    …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the… more
    Charles Schwab (10/08/25)
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  • Senior Manager , Policy Governance,…

    Charles Schwab (Westlake, TX)
    …, audit, or regulatory risk management experience in a financial services retail broker dealer or investment advisory role. + Strong knowledge of financial ... We are seeking a highly organized and results-oriented Senior Manager to join the Retail Supervision & Risk Management...services broker - dealer and Investment Advisory industry standards, best… more
    Charles Schwab (10/19/25)
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  • Senior Compliance Analyst - Park Avenue…

    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 ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
    Guardian Life (09/10/25)
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  • Manager of Treasury Settlement Services

    Charles Schwab (Westlake, TX)
    …Extensive experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital ... be in the office 4 days a week. The ** Manager of Treasury Settlement Services** (TSS) is primarily responsible...in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness… more
    Charles Schwab (10/04/25)
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  • Manager Liquidity Regulatory Reporting

    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
    Charles Schwab (09/07/25)
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  • Senior Manager - Balance Sheet Forecasting…

    Charles Schwab (Westlake, TX)
    …+ Strong knowledge of fixed-income investment portfolio forecasting at a bank and broker dealer preferred. + Enthusiasm and demonstrated background to work in ... ALM and fixed income investing. Reporting to the Senior Manager , Balance Sheet Forecasting and Analytics, you will contribute...for Capital Stress Test scenarios for CCAR and DFAST compliance . You'll accurately model & analyze all balance sheet… more
    Charles Schwab (09/18/25)
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