• Senior IT Auditor , Broker…

    Charles Schwab (Phoenix, AZ)
    …and (vi) middle and back office operational functions. Reporting to a Director or Senior Manager of the Broker - Dealer /Asset Management team, the Internal ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
    Charles Schwab (04/23/24)
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  • Senior Auditor I, Vice President…

    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 ... (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establishes direction for...Capital Markets including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such… more
    MUFG (04/05/24)
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  • Brokerage Dealer Accounting and Reporting…

    Comerica (Detroit, MI)
    …FOCUS or OBS report submissions. * Maintain the general ledger for the broker dealer , including recording entries, performing a monthly close process and ... external financial reporting and accounting for Comerica Securities, a FINRA regulated broker - dealer and a subsidiary of Comerica, Inc. Inaccurate reporting or… more
    Comerica (04/12/24)
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