- Charles Schwab (Phoenix, AZ)
- …to a Director of the Broker -Dealer/ Asset Management team, the Internal Audit Technology Senior Manager will have responsibility for the independent ... The Broker - Dealer/ Asset Management enterprise team is seeking an Internal Audit Technology Senior Manager primarily responsible for leading application… more
- Capital One (Mclean, VA)
- …United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will ... Broker Dealers" or "CBDs"). The Compliance Advisor Senior Manager will work independently from the...least 7 years of experience working in compliance, legal, audit , operations, or finance within financial services OR at… more
- Charles Schwab (Phoenix, AZ)
- …functions. Reporting to a Director or Senior Manager of the Broker -Dealer/Asset Management team, the Internal Audit Technology Senior Specialist will ... Broker -Dealer/Asset Management enterprise team is seeking an Internal Audit Technology Senior Specialist primarily responsible for... audit observations for review by the Internal Audit Manager / Senior Manager … more
- Charles Schwab (Westlake, TX)
- …for a dynamic and engaging compliance professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker -Dealer ... and Investment Adviser programs. Though this is an Individual Contributor position, the Senior Manager will be able to make a broad impact as they conduct… more
- Charles Schwab (Westlake, TX)
- …a dynamic and engaging Compliance Professional to join the team, as a Senior Manager , responsible for conducting retail and independent branch office compliance ... testing. The Senior Manager is an individual contributor and...services + 3-5 years of experience in a Regulatory Testing/Examiner/ Audit role + Understanding of FRB, SEC, FINRA, OCC,… more
- US Bank (Minneapolis, MN)
- …from Day One. **Job Description** **Job Description** The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, Capital Markets is a ... entities where USB owns a majority (controlling) interest. The Senior Audit Manager is responsible...following areas: * Wealth Management laws and regulations (eg, Broker Dealer, Trust Services, Wealth Management, Securities and Exchange… more
- Citigroup (New York, NY)
- The Senior Audit Manager is...(CPA, ACA, CFA, CIA, CISA or similar) preferred + Broker /Dealer and Global Markets experience preferred + Specific subject ... for managing a complex and critical unit within Internal Audit . The role is responsible for assurance coverage key...and Finance strategy and transformation and will interact with senior members of Finance. **Key Responsibilities:** + Manage a… more
- Ankura (New York, NY)
- …of progressively responsible experience having attained the Senior Manager or Manager level in an audit firm; . PCOAB or SEC regulatory experience is ... Our Audit Advisory Team of professionals includes several former senior officials from the PCAOB, including the Divisions of Enforcement and Investigation… more
- TD Bank (Greenville, SC)
- …Report on emerging trends, identifying issues and opportunities and recommending action to senior management + Act as a strategic audit advisor by providing ... of US Wealth business and US regulations for wealth businesses. Audit experience in Trust/Investment/ Broker Dealer/Asset Management. \#LinkedIn **Who We… more
- Truist (Charlotte, NC)
- …to serve as a proxy for the Governance and Controls Officer with senior leadership, committee presentations, audit , or regulators. Following is a summary ... within the GCO. 11. Communicate, lead discussions, present materials as needed to senior leaders, committees, audit and/or regulators. Serve as a proxy when… more
- Charles Schwab (Westlake, TX)
- …of business goals as well as the regulatory and industry environment. The Senior Manager , Supervisory Risk Management will concentrate on regulatory risk ... requires a candidate with considerable industry, supervisory and risk/control knowledge. The Senior Manager will have the opportunity to collaborate with all… more
- City National Bank (Los Angeles, CA)
- ** MANAGER COMPLIANCE PROGRAM SENIOR ** **WHAT IS THE OPPORTUNITY?** The Manager of Compliance Program is responsible for leading a team of compliance ... + Minimum of 10 years working for financial institutions in a compliance, audit or operational risk management capacity. + Minimum 3 years of experience with… more
- SMBC (New York, NY)
- …program. + Escalates regulatory concerns and other significant matters to their manager . + Interfaces with regulators and Internal Audit during compliance ... advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer… more
- Fastly (San Francisco, CA)
- …Stock Administration professional to join our amazing Finance team. Reporting into the Senior Director of Accounting and Reporting, you will be leading the team in ... efforts, including administering our equity programs, employee education, compliance, audit and reconciliations, domestic and international taxation and filings, as… more
- HUB International (New York, NY)
- HUB International Limited ("HUB") is the 5th largest global insurance broker , providing a broad array of property, casualty, risk management, life and health, ... in the mergers and acquisitions. We are seeking a Senior Account Executive for our Risk Management Commercial Lines...day-to-day basis with prompt responses to the client and manager , where applicable. + Conduct in-depth coverage reviews of… more
- Bank of America (Jersey City, NJ)
- Global Financial Crimes Manager -Global Markets - US and Global Markets Operations-U.S. New York, New York;Jersey City, New Jersey **Job Description:** At Bank of ... overseeing independent financial crimes risk management reporting to GCOR and FLU Senior Leaders + Establishing, monitoring and reporting on GFC, FLU and Enterprise… more
- Bank of America (Charlotte, NC)
- Global Financial Crimes Manager Pennington, New Jersey;Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a common purpose to help ... Join us! **Job Description** : The Global Financial Crimes Manager is responsible for supporting the execution of substantive...financial crimes risk management reporting to GCOR and FLU Senior Leaders + Establish, monitor and report on GFC,… more
- Livingston International (Southfield, MI)
- Senior Trade Analyst Join Livingston's Global Trade Management team and help large companies manage their supply chains on a global scale. Livingston is a market ... forwarders, carriers, US Customs and other regulatory bodies + Audit Trade Analyst work for quality and compliance +...+ Contribute to process development and improvement + Assist Manager in daily workflow oversight and management + Adhere… more
- WTW (Short Hills, NJ)
- …financial and clinical models, build strategic relationships within the PBM and broker /consulting industry as well as gain experience in coalition management within ... WTW Innovation Hub (IHub) specific to industry-relevant topics such as Audit , Specialty, Data Analytics, Clinical and Marketplace Intelligence. **People** + Lead… more
- CIBC (New York, NY)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/ Broker -Dealer/Swap Dealer Reporting ... to the Head of US Compliance Examination Program, the Compliance Examination Manager is accountable for execution of the US Compliance Examination Plan established… more