- Charles Schwab (Westlake, TX)
- …Management enterprise team is seeking a Senior Auditor (Senior Specialist). The Broker- Dealer /Asset Management team provides internal audit coverage of the ... middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker- Dealer /Asset...have** + 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset… 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
- Ankura (New York, NY)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker- dealer audit engagements, leading and supporting investigations, and independent ... Overview: Ankura Consulting has a full-time position for a Senior Director in its Audit Advisory Practice. Audit Managing Directors provide subject matter… more
- US Bank (Atlanta, GA)
- …Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director /Senior Audit Director of the Risk Management ... Compliance audit team. This role supports the Audit Director /Senior Audit Director...areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission… 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
- Vanguard (Malvern, PA)
- Overview:As the Risk Director , Sales and Client Management you will have the opportunity to lead and mature the risk management program and offer provided to ... advice to the business, enabling risk-informed decision making. The incoming Risk Director will provide credible and effective challenge to the business in… 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
- TD Bank (New York, NY)
- …US Finance in New York City. This role is reported directly to the Director , Finance. The successful candidate will manage the preparation and consolidation of the ... monthly close, review entries and reconciliations for broker- dealer and non-broker- dealer entities and ensure compliance with US GAAP and IFRS standards. Key… more
- Advance Local (Jersey City, NJ)
- …problems. As a member of the Product Support Team, this role reports to the Director of Risk, Compliance & Support. **_The base salary range is $120,000 to $130,000 ... classification, metadata repositories, and lineage documentation to support discoverability, audit readiness, and risk mitigation. + Training and guidance to… more
- MUFG (Tempe, AZ)
- …provide more details. **Job Summary:** This position will report to the FLoD Director Third-Party Management and will be principally engaged in execution of the ... Interface with second line of defense (SLOD) review and challenge and Internal Audit . + Primary TPRM support partner for Subject Matter Experts (SMEs), Business Unit… more