- Charles Schwab (Phoenix, AZ)
- …Reporting to a Director of the Broker -Dealer/ Asset Management team, the Internal Audit Technology Senior Manager will have responsibility for the ... - Dealer/ Asset Management enterprise team is seeking an Internal Audit Technology Senior Manager ...for leading application reviews in business integrated audits. The Broker -Dealer/Asset Management team provides internal audit… 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 ... Broker -Dealer/Asset Management enterprise team is seeking an Internal Audit Technology Senior Specialist primarily responsible...draft audit observations for review by the Internal Audit Manager /Senior Manager… more
- Charles Schwab (Westlake, TX)
- … audit testing, identify and draft audit observations for review by the Internal Audit Manager /Senior Manager (and above levels) and subsequent ... Management enterprise team is seeking a Senior Auditor (Senior Specialist). The Broker -Dealer/Asset Management team provides internal audit coverage of… 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, we ... regulatory requirements across two Bank of America SEC registered broker dealers. The role will serve as an individual...impact to client seg and rehypothecation process. * Provide audit assistance and guidance during internal /external reviews… more
- Charles Schwab (Westlake, TX)
- …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...testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures, and systems designed to achieve… more
- PNC (Pittsburgh, PA)
- …respected, 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 ... champions data analytics, promotes process automation, and embraces emerging risks. PNC's Internal Audit department is composed of industry leaders who provide… more
- US Bank (Minneapolis, MN)
- …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... audit scope and conclusions and adhere to internal audit policies and procedures. + Reviewing… 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 ... senior members of Finance. **Key Responsibilities:** + Manage a team of Internal Audit professionals across multiple locations, recruit staff, lead professional… more
- Santander US (New York, NY)
- …assessing risk as well as formulates findings and presents the results to the Audit Manager . + Executes control design and operating effectiveness testing over ... the business or function under review as part of internal audit reviews and activities. + Conducts...that meets the company's standards. + Participates with the Audit Manager in the planning of … 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 ... a difference. Join us! **Job Description** : The Global Financial Crimes Manager is responsible for supporting the execution of substantive money laundering,… more
- Zero Hash (IL)
- …stock based compensation + Maintain the Finance controls register and coordinate with internal audit to identify and remediate findings related to Finance ... About the Role As the Technical Accounting and Reporting Manager , you will be responsible for the timely and accurate reporting of financial results in accordance… more
- CIBC (New York, NY)
- …requirements + Former role as a commissioned securities examiner, or within internal audit a plus + Professional licenses and certifications desired ... CIBC, please 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… more
- Jostens (Minneapolis, MN)
- International Trade Compliance Manager ABOUT YOU: As the International Trade Compliance Manager , you will play a pivotal role in ensuring import and export ... and finished goods. Your primary responsibility will be to provide internal consulting and advanced customs technical knowledge specifically for, although not… more
- Bank of America (Charlotte, NC)
- …relationships with GM COR, GCOR Surveillance / Enterprise Independent Testing and internal audit teams + Participating in governance routines and meetings ... Compliance & Operational Risk Manager - Quality Assurance Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a common purpose to help… more
- Scotiabank (New York, NY)
- …for remediation/action plans to facilitate timely closure of findings by Compliance Testing, Internal Audit , and regulatory examinations relating to the CIB and ... Manager , CIB & Research Compliance Officer **Requisition ID:**...of advice on compliance with governing regulations and Bank internal policies and procedures to front office, Internal… more
- Charles Schwab (Omaha, NE)
- …to support business partner, auditor and/or regulator inquiries . Supports annual external audit and other regulatory requirements . Execute internal controls to ... the finance industry together._ A member of the Corporate Controller's Department, Broker Dealer Accounting is responsible for the financial books and records of… more
- Dollar Tree (Chesapeake, VA)
- …sanctions, restricted party compliance, business partner screening, CTPAT and post entry audit . Manager will be actively engaged in driving program development ... and National Account Manager . 4. Provide training and support for all internal and external partners engaged in CTPAT related operations. 3. Manage post entry … more
- PCI Pharma Services (Rockford, IL)
- …collaborating with Payroll, Finance, and HRIS colleagues to ensure compliance with internal and external audit requirements, accurate forecasting of benefit ... and shape the future of PCI. Summary The Benefits Manager will lead the design, administration and governance of...between the company and benefit providers, including the benefit broker , and serve as the primary contact for plan… more
- Capital One (New York, NY)
- …(22957), United States of America, New York, New York Senior Manager , Capital Markets Regulatory Onboarding Capital One's Commercial Operations provides support ... deliver a beautiful client experience to our business bankers, internal partners and clients. This unique position owns the...of the work, this leader will be engaged in Audit and exam support as a key component of… more
- ACCO Brands (Lake Zurich, IL)
- …Senior Director, Global Trade and Customs Oversee activities as they relate to Customs audit activities, internal audit support and SOX compliance. Review ... brokers as it relates to quality of customs compliance activities that the Customs broker is performing. Ensure that internal metrics are reported on and… more