- 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 (Westlake, TX)
- …team is seeking a Senior Auditor ( Senior Specialist). The Broker -Dealer/Asset Management team provides internal audit coverage of the business ... draft audit observations for review by the Internal Audit Manager/ Senior Manager (and...responsibility. Broker Dealer/Asset Management experience specific to internal audit and/or similar Big 4 accounting… more
- Charles Schwab (Phoenix, AZ)
- … controls. The Broker -Dealer/Asset Management enterprise team is seeking an Internal Audit Technology Senior Specialist primarily responsible for ... Reporting to a Director or Senior Manager of the Broker -Dealer/Asset Management team, the Internal Audit Technology Senior Specialist will have… 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 ... programs. Though this is an Individual Contributor position, the Senior Manager will be able to make a broad...testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures, and systems designed to achieve… more
- Bank of America (New York, NY)
- …designs with impact to client seg and rehypothecation process. * Provide audit assistance and guidance during internal /external reviews of segregation process. ... Business Control Manager- Broker Dealer Customer Protection Manager-Global Market Operations New...and advise on pertinent incidents and regulatory requirements with senior stakeholders and engage with auditors and/or regulators. Responsibilities:… 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, ... level management position that supports the Regulatory Compliance Audit Director/ Senior Audit Director of... 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...responsible for managing a complex and critical unit within Internal Audit . The role is responsible for ... members of Finance. **Key Responsibilities:** + Manage a team of Internal Audit professionals across multiple locations, recruit staff, lead professional… more
- MUFG (Tempe, AZ)
- …more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading independent, objective assurance and consulting ... preferred. **Skills and Experience:** + 7+ years and/or equivalent of experience in internal audit and/or equivalent of experience with the financial services… more
- Morgan Stanley (New York, NY)
- …or any other characteristic protected by law. **Job:** **Other* **Title:** * Internal Audit Director - Risk Management (Capital Planning) * **Location:** ... Identification, Scenario Design, Stress Losses, and Independent Process Validation. In the Audit division, we provide senior management an objective and… more
- SMBC (New York, NY)
- …and other significant matters to their manager. + Interfaces with regulators and Internal Audit during compliance related examinations / audits related to ... 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
- WTW (Dallas, TX)
- Take your career to new heights! WTW is the leading construction insurance broker in the world. We provide risk management, claims, and risk control services and ... risk control position with a large nationally recognized commercial Insurance carrier/ broker with significant exposure to large and mid-sized contractors or… more
- Citigroup (New York, NY)
- …the Global Equities business, central Markets teams, Independent Compliance Risk Management, Internal Audit , Bank Regulatory Legal and participate in updates to ... Senior Management. The role requires the individual to have...governance programs that meet regulatory expectations, for example US Broker -Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or… more
- HUB International (Woodbury, NY)
- …forward invoices, policies, endorsements and other documents as necessary. + Review and audit policies for compliance with internal procedures and in accordance ... on how to prepare for the unexpected. As the 5th largest global insurance broker , our focus is dedicated to providing our customers with the peace of mind… more
- Capital One (New York, NY)
- …Park Avenue (22957), United States of America, New York, New York Senior Manager, Capital Markets Regulatory Onboarding Capital One's Commercial Operations provides ... 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
- HUB International (Woodbury, NY)
- …forward invoices, policies, endorsements and other documents as necessary. Review and audit policies for compliance with internal procedures and in accordance ... on how to prepare for the unexpected. As the 5th largest global insurance broker , our focus is dedicated to providing our customers with the peace of mind… more
- BeiGene (San Mateo, CA)
- **General** **Description:** The Senior Director of CMO and Distribution Logistics, Clinical Supply Chain is responsible for overseeing the Clinical Supply Chain ... cultural company. **Essential Functions of the** **job:** + Interface with internal manufacturing sites and external CMO/vendors on related activities for DP/FG… more
- Bank of America (Charlotte, NC)
- Liquidity Risk Senior Analyst - Liquidity Governance and Crisis Continuum Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a ... company. Our business partners include Global Funding, Enterprise Capital Management, Finance, Audit , Risk, and Lines of Business. The group works with business… more
- Fastly (San Francisco, CA)
- …shares outstanding and share reserves among company records, the transfer agent and broker records to support internal and external reporting activities + ... 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… more
- Zelis (Atlanta, GA)
- …Overview: Working at the general guidance of the Director of Accounting, The Senior Accountant will be responsible for assisting the Accounting team with the monthly ... of accounting responsibility, including compliance with and documentation of internal controls. Key Responsibilities: + Responsible for month-end close processes… more
- Tradeweb (Jersey City, NJ)
- Tradeweb is seeking a Senior Accounting Analyst to join our growing Finance & Accounting department. This candidate will be responsible for managing and ... for monthly invoice reviews, billing and general ledger postings + Process and calculate broker commission payments and all necessary support + SOX and Audit … more