- 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
- 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
- Scotiabank (Dallas, TX)
- …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager , Compliance Testing **Requisition ID:** 245239...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … more
- 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
- Charles Schwab (Westlake, TX)
- …organization + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space + Strong SQL and Excel skills with ability to handle ... 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)
- …in Finance/Economics; 5+ years in settlement operations (including derivatives) within broker / dealer or banking environments. + **Technical Expertise** : Strong ... This role is expected to be in the office 4 days a week. As ** Manager of Treasury Settlement Services** (TSS), you'll play a vital role in ensuring the accuracy… 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
- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... bring a strong background in audit, financial reporting, and compliance , with a proven ability to enhance processes and...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more
- Wells Fargo (Austin, TX)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... and effective partnerships with their Consumer Bank Region Executive and District Manager colleagues to drive consistent Premier routines and outcomes. **In this… more
- TIAA (Frisco, TX)
- …as well as product development and management. + Experience in wealth and broker / dealer risk management. + Experience working closely with legal, compliance ... inventory + Act as primary liaison with Business Controls, Compliance / Risk / Audit functions * Management of...to evaluate appropriate fund selection for specific platforms and manager /fund selection process. + Ability to review, analyze, and… more