- Charles Schwab (Westlake, TX)
- …advisors on Schwab's platform and their clients; (ii) client product solutions and market expertise; ( iii ) portfolio advisory services and research; (iv) asset ... efficiency of governance processes, risk management, and internal controls. The Broker -Dealer/Asset Management enterprise team is seeking an Internal Audit Manager.… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Capital Markets Middle Office Specialist within the Non-Financial Regulatory Reporting team as a part of Corporate ... part of a small global team who will monitor daily North American Broker Dealer non-financial regulatory reporting controls, ie, TRACE, MSRB, Electronic Blue Sheet,… more
- MUFG (New York, NY)
- …related field + 2+ years of experience in a similar business analyst or market operations role, preferably within a broker -dealer or financial institution + ... our recruitment team will provide more details. Job Description The AVP in the Middle Office will be responsible for supporting the firm's initiative to become a US… more