- Charles Schwab (Lone Tree, CO)
- …ability to develop talent **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, varied ... assets with Schwab. The SCO is looking for a Senior Team Manager to support the Information Technology (IT)...SCO's BP and integrated control teammates, management, Schwab's external auditor , and other Schwab testing programs to enhance Schwab's… 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
- City National Bank (Charlotte, NC)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... for new or revised laws and regulations. + Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance… more
- City National Bank (Los Angeles, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... and aggregate front line risk assessments and report results/recommendations to senior management. + Manage assigned staff and conduct appropriate coaching to… 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 ... and aggregate front line risk assessments and report results/recommendations to senior management. + Serve as liaison with regulators during commercial focused… more
- MUFG (New York, NY)
- …with experience in Technology auditor . + Preferably worked in the Broker - Dealer world and handled multiple projects concurrently, dealt simultaneously with ... day. A member of our recruitment team will provide more details. Senior Technology Auditing, Compliance, & Governance Manager will ensure the integrity,… more