- CohnReznick LLP (New York, NY)
- …Services Group. The Financial Services Group provides services to private equity, hedge fund, broker dealer , fund to funds, and real estate fund clients. You ... currently have an exciting career opportunity for an Assurance Manager to join the team in our New York...Entrepreneurial spiritStrong experience using Microsoft Office Suite Knowledge of audit software such as CaseWare or ProSystem FX Exceptional… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role...least 7 years of experience working in compliance, legal, audit , operations, or finance within financial services OR at… more
- Bank of America (New York, NY)
- Business Control Manager - Broker Dealer Customer Protection Manager -Global Market Operations New York, New York **Job Description:** At Bank of America, ... treatment for custody, processing flows and/or new business proposals under the US broker dealer regulatory customer protection rules, with specific focus on… more
- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit ... team is seeking a Senior Auditor (Senior Specialist). The Broker - Dealer /Asset Management team provides internal audit...office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management… more
- Robert Half Finance & Accounting (New York, NY)
- …Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our client requires 2+ years ... of Public/Private Accounting experience with Banking or Broker Dealer industry knowledge, with an Accounting...desirable. The role reports directly into the Senior Accounting Manager for the US, and will cover US GAAP/IFRS… more
- US Bank (Irving, TX)
- …what you excel at-all from Day One. **Job Description** **Job Description** The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, ... where USB owns a majority (controlling) interest. The Senior Audit Manager is responsible for providing strategic...following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities… more
- PNC (Pittsburgh, PA)
- …valued and have an opportunity to contribute to the company's success. As an Internal Audit Process Manager you will be within PNC's Internal Audit ... Audit team specializing in the following business segments; Broker /Dealers, Registered Investment Advisers, and Corporate and Institution, including Capital… more
- Citigroup (New York, NY)
- The Senior Audit Manager is a management position responsible for managing a complex and critical unit within Internal Audit . The role is responsible for ... + Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred + Broker / Dealer and Global Markets experience preferred + Specific subject matter… more
- Bank of America (Charlotte, NC)
- …Monitor regulatory changes applicable to Global Financial Crimes focusing specifically on broker - dealer impacts + Engage with the Financial Crimes Analytics Team ... Global Financial Crimes Manager Pennington, New Jersey;Charlotte, North Carolina **Job Description:**...drive thematic reviews of key risk areas for the broker - dealer and develop/enhance GFC automated detection tools… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- Truist (Charlotte, NC)
- …asset financing. 5. Advanced knowledge of risk infrastructure including regulatory framework for broker dealer and swap dealer entities 6. FINRA Series ... for the Governance and Controls Officer with senior leadership, committee presentations, audit , or regulators. Following is a summary of the essential functions for… more
- Charles Schwab (Omaha, NE)
- …transform the finance industry together._ A member of the Corporate Controller's Department, Broker Dealer Accounting is responsible for the financial books and ... records of Charles Schwab Corporation, and related subsidiaries. Functions of Broker Dealer Accounting include recording income statement and balance sheet… more
- Capital One (New York, NY)
- … Dealers + Manage manual screening processes (Bridger Web) + Escalation point for Broker Dealer , Investment Bank, Sales, Research and Trading and Mergers & ... United States of America, New York, New York Senior Manager , Capital Markets Regulatory Onboarding Capital One's Commercial Operations...of the work, this leader will be engaged in Audit and exam support as a key component of… more
- Zero Hash (IL)
- …and reporting at regulated financial services firms (FinTech, banking, payments, lending, broker dealer , crypto) and/or public accounting experience + 3+ years ... About the Role As the Technical Accounting and Reporting Manager , you will be responsible for the timely and...statements and footnotes + Manage the annual financial statement audit by ensuring key audit deliverables are… more
- Nuveen Investments (Charlotte, NC)
- …Nuveen Canada Company, Compliance Programs. Nuveen Securities, LLC, is a registered US broker - dealer , which serves as the underwriter and distributor for the ... + Assist with document production with respect to testing, audit and regulatory examinations. + Track regulatory developments, trends...the securities industry, working for an investment adviser or broker - dealer . + Series 6 or 7; Series… more
- Bank of America (Charlotte, NC)
- …+ 8+ years experience covering global markets compliance for US institutional broker - dealer or bank + Bachelor's degree or equivalent work experience ... Compliance & Operational Risk Manager - Quality Assurance Charlotte, North Carolina **Job Description:**...COR, GCOR Surveillance / Enterprise Independent Testing and internal audit teams + Participating in governance routines and meetings… more
- Scotiabank (New York, NY)
- …**What You'll Bring:** + A minimum of 3-4 years with a bank or broker - dealer + Foundational understanding of securities laws and regulations pertaining to ... Manager , CIB & Research Compliance Officer **Requisition ID:**...facilitate timely closure of findings by Compliance Testing, Internal Audit , and regulatory examinations relating to the CIB and… more
- City National Bank (Los Angeles, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... ** MANAGER COMPLIANCE PROGRAM SENIOR** **WHAT IS THE OPPORTUNITY?**...10 years working for financial institutions in a compliance, audit or operational risk management capacity. + Minimum 3… more
- Bank of America (Charlotte, NC)
- …review, and submission of US financial regulatory reports for the bank, broker - dealer , and certain non-bank subsidiaries and works closely with business ... Global Financial Controls; US Bank Agency Reporting / Accounting Policy Manager Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a… more
- Wells Fargo (Charlotte, NC)
- …Bank Examiner designation + Experience in portfolio management, investment strategy, broker / dealer operations, wealth management, fiduciary and trust services. ... Senior Auditor on the Wealth and Investment Management (WIM) Audit Team providing coverage for Banking, Lending & Trust,... findings and make recommendations to management + Inform manager of situational issues that might compromise objectivity or… more
