- 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
- 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
- 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
- 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 ... prepare and review, and this position reports to the Senior Team Manager, IT Audits and SOX Compliance. This...with the SCO's BP control teammates, management, Schwab's external auditor , and other Schwab testing programs to enhance Schwab's… more