• Internal Audit Manager

    Charles Schwab (Westlake, TX)
    … controls. The Broker -Dealer/Asset Management enterprise team is seeking an Internal Audit Manager . The Broker -Dealer/Asset Management team ... a Director of the Broker -Dealer/Asset Management enterprise team, the Internal Audit Manager will have responsibility for the independent and objective… more
    Charles Schwab (10/18/25)
    - Related Jobs
  • Senior Auditor, Broker Dealer/Asset…

    Charles Schwab (Westlake, TX)
    audit testing, identify and draft audit observations for review by the Internal Audit Manager /Senior Manager (and above levels) and subsequent ... Management enterprise team is seeking a Senior Auditor (Senior Specialist). The Broker -Dealer/Asset Management team provides internal audit coverage of… more
    Charles Schwab (10/10/25)
    - Related Jobs
  • Senior IT Auditor, Broker Dealer/Asset…

    Charles Schwab (Westlake, TX)
    audit testing, identify and draft audit observations for review by the Internal Audit Manager /Senior Manager (and above levels) and subsequent ... processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team...and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior… more
    Charles Schwab (10/16/25)
    - Related Jobs
  • Broker Dealer Regulatory Governance…

    SMBC (New York, NY)
    …Office of the CEO (CEOAD), Tokyo Home Office, Finance & Operations, Risk, HR, Internal Audit , and Technology. The Regulatory Governance team collaborates with ... as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function… more
    SMBC (10/09/25)
    - Related Jobs
  • Broker Compensation Manager

    UNUM (Chattanooga, TN)
    …management that creates a high-performance operating environment. + Ensures quality, audit and control standards through the development of effective standards, ... service and financial levels are met at all times. + Manages internal and external customer expectations through project planning and partnering efforts throughout… more
    UNUM (10/10/25)
    - Related Jobs
  • Audit Manager - Global Markets

    SMBC (New York, NY)
    …in the broker dealer & financial industry to work within the Internal Audit Department. The Audit Manager will design and supervise execution of ... Description** SMBC is seeking an experienced Vice President - Audit Manager with a minimum of 8...regulators. **Qualifications and Skills** * Minimum of 8 years internal audit experience in the banking and… more
    SMBC (09/03/25)
    - Related Jobs
  • Audit Manager II-Wealth Management

    City National Bank (Charlotte, NC)
    * AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Audit Manager II position is a leadership role as an auditor-in-charge to guide a team ... performed, and effectively communicate audit results to the Senior Audit Manager /Director and senior management in meetings, presentations, and/or written… more
    City National Bank (09/24/25)
    - Related Jobs
  • Audit Manager - Asset Wealth…

    JPMorgan Chase (Jersey City, NJ)
    We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team. This is your opportunity to play a crucial role in ... governance and operational excellence! As an Audit Manager within our Asset Management Internal ...12 CFR 9) related to asset management, investment advisor, broker -dealer and fiduciary activities. + Knowledge of various financial… more
    JPMorgan Chase (10/16/25)
    - Related Jobs
  • Audit Manager - Liquidity Risk

    SMBC (New York, NY)
    …7 years' experience in the banking & finance industry to work within the Internal Audit Department. The Audit Manager will report to the Risk Stripe Lead ... feedback to audit team which may include internal or co-sourced internal audit ...standards / guidance for a Bank Holding Company / Broker Dealers including Reg YY Liquidity requirements * Familiarity… more
    SMBC (08/19/25)
    - Related Jobs
  • Audit Manager - Connected Commerce…

    JPMorgan Chase (Jersey City, NJ)
    We are on the lookout for a talented Audit Manager to join our Connected Commerce & Consumer & Community Bank Strategy - Internal Audit team. This is ... enhancing our organization's governance and operational excellence! As an Audit Manager on the Connected Commerce &...Connected Commerce & Consumer & Community Bank Strategy - Internal Audit Team, you will develop and… more
    JPMorgan Chase (10/09/25)
    - Related Jobs