- Beacon Hill Staffing Group, LLC (Rockville, MD)
- …preparing internal advertising materials, participate in marketing efforts and broker functions, and perform other administrative duties as assigned by senior ... renewal proposals based on leasing directors' terms; track lease expirations for internal reporting.Summarize new and renewal leases for internal approval,… more
- 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
- Charles Schwab (Westlake, TX)
- …dynamic and engaging Compliance Professional to join the team, as a Senior Manager, responsible for conducting retail and independent branch office compliance ... testing. The Senior Manager is an individual contributor and will conduct...testing to evaluate the effectiveness and adequacy of certain internal controls, policies, procedures, and systems designed to achieve… 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
- Ankura (New York, NY)
- …Our Audit Advisory Team of professionals includes several former senior officials from the PCAOB, including the Divisions of Enforcement and Investigation ... root cause analysis, pre-issuance and post-issuance reviews of issuer and broker -dealer audit engagements, leading and supporting investigations, and independent… 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 (New York, NY)
- …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
- Charles Schwab (Westlake, TX)
- …with stakeholders across the organization, including Financial Risk, Model Risk and Internal Audit **What you'll do:** + Collaborate with the Director ... the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and manage regulatory ratios like the...as ensuring compliance at all times. We work with internal and external partners on multiple ongoing examinations and… more
- Tradeweb (Jersey City, NJ)
- Tradeweb is seeking a Senior Accountant\Securities Brokerage to join our growing Finance & Accounting department. The ideal candidate will have extensive knowledge ... of broker dealer operations, securities regulations, and financial reporting standards....commission payments and all necessary support + SOX and Audit responsibilities related to invoicing, reconciliations and controls testing… 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
- 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
- BUNZL (Collierville, TN)
- **Description** MCR Safety, a Bunzl company, is seeking a Senior Trade Compliance Analyst. This role will be based at our headquarters location in Collierville, TN. ... regulations. The position requires the ability to analyze and collect data from internal and external partners to support policies and functions. This position must… more
- HUB International (Woodbury, NY)
- …of Certificates of Insurance, Accord Binders, and Placement Requests + Review and audit policies for compliance with internal procedures and in accordance with ... HUB International Limited ("HUB") is the 5th largest global insurance broker , providing a broad array of property, casualty, risk management, life and health,… more
- HUB International (New York, NY)
- …Process Certificates of Insurance, Binders, and Placement Requests timely. + Review and audit policies for compliance with internal procedures and in accordance ... International Limited ("HUB") is the 5th largest global insurance broker , providing a broad array of property, casualty, risk...in the mergers and acquisitions. We are seeking a Senior Account Executive for our Risk Management Commercial Lines… more
