- Ford Motor Company (Dearborn, MI)
- …marketing and global distribution. **In this position ** + We are seeking an experienced Audit Director to lead our global team of 25 dealer (franchise) ... and coverage. + Conduct comprehensive assessment leading to an annual risk-based dealer audit plan. Deliver the annual audit plan with rigorous review… more
- Charles Schwab (Westlake, TX)
- …back office operational functions. Reporting to a Director of the Broker- Dealer /Asset Management enterprise team, the Internal Audit Manager will have ... The Broker- Dealer /Asset Management enterprise team is seeking an Internal Audit Manager. The Broker- Dealer /Asset Management team provides internal audit… more
- Charles Schwab (Westlake, TX)
- …the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT ... **Your opportunity** The Internal Audit Department (IAD) of The Charles Schwab Corporation...management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls… more
- Capital One (New York, NY)
- Audit Director - Commercial **Overview:** Capital One's Audit function is a dedicated group of professionals focused on delivering top-quality assurance ... enterprise. Capital One is seeking an energetic and self-motivated Audit Director to join its Commercial Bank...specific focus on Capital One's Commercial Capital Markets, Swap Dealer , Treasury Management, and Lending portfolios as well as… more
- City National Bank (Charlotte, NC)
- …provide the insights. * Relationship Building and Client Experience: Supports the Audit Director proactively in their ongoing monitoring and discussions with ... performed, and effectively communicate audit results to the Senior Audit Manager/ Director and senior management in meetings, presentations, and/or written… more
- TD Bank (New York, NY)
- …recruiter who can provide you more specific details for this role. **Job Description:** This Director - Compliance role will be a key member of the TDS US Compliance ... on remediation and program development and improvement within TDS. This Director role will focus on driving compliance-owned remediation initiatives and supporting… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, ... 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank...abuse and manipulation. + Advanced understanding of testing or audit concepts and principles as well as control analysis… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary:** Under very limited supervision, the Director of Alternative Investment Operational Due Diligence utilizes specialized knowledge and skills obtained ... funds, managed futures funds, and other non-traditional investment opportunities. The Director is expected to lead onsite diligence meetings and communicate… more
- TD Bank (New York, NY)
- …markets sales, trading and origination activities is a core competency. The Director Trading Business Management TDS is responsible for the planning, direction, and ... other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions + Contributing...24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules &… more
- Huntington National Bank (Columbus, OH)
- …, and Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director for investment ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance… more
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