- Wheeler Machinery (Murray, UT)
- …join our growing team on-site in Murray, UT. The Controller reports to the Director of Finance and is accountable for managing, analyzing, tracking, and reporting on ... Coordinate with external auditors for annual audits and manage the preparation of audit schedules. + Owns accounting month-end cycle and adheres to the Campbell… more
- SMBC (Charlotte, NC)
- …SA, and Sumitomo Mitsui Finance and Leasing Co., Ltd. **Role Description** The Director , IT Functional Control Officer (FCO) for Capital Markets/Nikko is a change ... control assessments within 1LoD, working closely with Risk Management, Compliance, Internal Audit , and peer Control Officers supporting CM/Nikko Front Office and AD… more
- Ford Motor Company (Dearborn, MI)
- …marketing and global distribution. **In this position ** + We are seeking an experienced Audit Director to lead our global team of 25 dealer (franchise) ... and coverage. + Conduct comprehensive assessment leading to an annual risk-based dealer audit plan. Deliver the annual audit plan with rigorous review… more
- Charles Schwab (Westlake, TX)
- …back office operational functions. Reporting to a Director of the Broker- Dealer /Asset Management enterprise team, the Internal Audit Manager will have ... The Broker- Dealer /Asset Management enterprise team is seeking an Internal Audit Manager. The Broker- Dealer /Asset Management team provides internal audit… more
- 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
- Capital One (New York, NY)
- Audit Director - Commercial **Overview:** Capital One's Audit function is a dedicated group of professionals focused on delivering top-quality assurance ... enterprise. Capital One is seeking an energetic and self-motivated Audit Director to join its Commercial Bank...specific focus on Capital One's Commercial Capital Markets, Swap Dealer , Treasury Management, and Lending portfolios as well as… more
- TD Bank (New York, NY)
- …recruiter who can provide you more specific details for this role. **Job Description:** This Director - Compliance role will be a key member of the TDS US Compliance ... on remediation and program development and improvement within TDS. This Director role will focus on driving compliance-owned remediation initiatives and supporting… 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
- 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
- Charles Schwab (Westlake, TX)
- …Contributor role with no direct reports. This position reports to the Director , Treasury Settlement Services. **What you'll do:** + Actively engage in middle ... settlement of large cash and securities transactions. + Lead ongoing internal audit reviews and update procedures. + Support ad-hoc projects involving internal and… more
- TD Bank (New York, NY)
- …framework across trade and communications monitoring. The incumbent will report to the Director of Surveillance Quality Assurance and will be part of the broader ... governance depends on us. **Key Responsibilities:** The incumbent will assist the Director of Quality Assurance with providing advice, guidance and expertise on… 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
- Charles Schwab (Lone Tree, CO)
- …that they are assigned to prepare and review, and this position reports to a Director , Audits and SOX Compliance. This Senior Team Manager has up to three direct ... Flexibility Program. **What you have** + Bachelor's degree in Accounting, Internal Audit , Information Systems, or Information Technology required + Six or more years… more
