- Charles Schwab (Westlake, TX)
- …/Asset Management enterprise team is seeking a Senior Auditor ( Senior Specialist). The Broker - Dealer /Asset Management team provides internal audit ... Manager in the Broker - Dealer /Asset Management enterprise team, the Senior Auditor will have responsibility for assisting in the for the independent and… more
- Citigroup (Irving, TX)
- The Senior Auditor is an intermediate level role responsible for performing moderately complex audits and assessments of Citi's risk and control environments in ... end-to-end customer experience. + Strong knowledge of wealth management, broker dealer , investment adviser functions preferred. +...of judgement and autonomy. + Acts as SME to senior stakeholders and /or other team members. + Appropriately… more
- JPMorgan Chase (Jersey City, NJ)
- …senior executives outside of Internal Audit and across the firm! As a Senior Internal Auditor , Associate on the Commercial and Investment Banking Finance ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- Lincoln Financial (Washington, DC)
- …**Requisition #:** 74448 **The Role at a Glance** We are seeking an enthusiastic Senior IT Auditor who is a self-starter and initiative driven, ready to ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... and discuss issues, challenges and methodologies with internal audiences including senior management. Technical Skills (Essential) - Advanced degree in quantitative… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and complexity with significant scope and impact focused on the firm's broker - dealer and investment advisory activities. Assesses risk within assigned internal ... **Job Summary:** The Senior Manager - Internal Audit role operates under...especially those associated with the registered investment advisory and broker - dealer divisions * Knowledge and understanding of… more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... *COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The...deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor … more
- MUFG (New York, NY)
- …A member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading ... end-to-end audit process (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction for staff on more… more
- City National Bank (Charlotte, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Manager II position is a leadership role as an auditor -in-charge to guide a team of auditors to assess...testing performed, and effectively communicate audit results to the Senior Audit Manager/Director and senior management in… more
- Charles Schwab (Lone Tree, CO)
- …Financial Responsibility Rule requirements **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, ... assets with Schwab. The SCO is looking for a Senior Specialist to support the Business Process (BP) portions...risks and controls + Collaborate with management, Schwab's external auditor , and other Schwab testing programs to enhance Schwab's… more