- CohnReznick LLP (New York, NY)
- …everything they do! We currently have an exciting career opportunity for an Assurance Manager to join the team in our New York City office/practice.YOUR TEAM. This ... Services Group provides services to private equity, hedge fund, broker dealer, fund to funds, and real estate fund...You will work on a team with other Associates, Senior Associates, Managers, Senior Managers, and Partners.… more
- Capital One (Mclean, VA)
- …United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will ... Broker Dealers" or "CBDs"). The Compliance Advisor Senior Manager will work independently from the...least 7 years of experience working in compliance, legal, audit , operations, or finance within financial services OR at… more
- Charles Schwab (Westlake, TX)
- …and (vi) middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker -Dealer/Asset Management enterprise team, the ... Senior Auditor ( Senior Specialist). The Broker -Dealer/Asset Management team provides internal audit coverage... audit observations for review by the Internal Audit Manager / Senior Manager … more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our ... 2+ years of Public/Private Accounting experience with Banking or Broker Dealer industry knowledge, with an Accounting Degree, CPA...passed highly desirable. The role reports directly into the Senior Accounting Manager for the US, and… 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 ... of customer protection regulatory requirements across two Bank of America SEC registered broker dealers. The role will serve as an individual contributor, acting as… more
- US Bank (Irving, TX)
- …from Day One. **Job Description** **Job Description** The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, Capital Markets is a ... entities where USB owns a majority (controlling) interest. The Senior Audit Manager is responsible...following areas: * Wealth Management laws and regulations (eg, Broker Dealer, Trust Services, Wealth Management, Securities and Exchange… more
- Citigroup (New York, NY)
- The Senior Audit Manager is...(CPA, ACA, CFA, CIA, CISA or similar) preferred + Broker /Dealer and Global Markets experience preferred + Specific subject ... for managing a complex and critical unit within Internal Audit . The role is responsible for assurance coverage key...and Finance strategy and transformation and will interact with senior members of Finance. **Key Responsibilities:** + Manage a… more
- Truist (Charlotte, NC)
- …to serve as a proxy for the Governance and Controls Officer with senior leadership, committee presentations, audit , or regulators. Following is a summary ... within the GCO. 11. Communicate, lead discussions, present materials as needed to senior leaders, committees, audit and/or regulators. Serve as a proxy when… more
- Capital One (New York, NY)
- …299 Park Avenue (22957), 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...Manage customer onboarding and KYC for Capital One Financial Broker Dealers + Manage manual screening processes (Bridger Web)… more
- SMBC (New York, NY)
- …program. + Escalates regulatory concerns and other significant matters to their manager . + Interfaces with regulators and Internal Audit during compliance ... 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
- City National Bank (Los Angeles, CA)
- ** MANAGER COMPLIANCE PROGRAM SENIOR ** **WHAT IS THE OPPORTUNITY?** The Manager of Compliance Program is responsible for leading a team of compliance ... + Minimum of 10 years working for financial institutions in a compliance, audit or operational risk management capacity. + Minimum 3 years of experience with… more
- Wells Fargo (Charlotte, NC)
- Wells Fargo is seeking a Senior Auditor on the Wealth and Investment Management (WIM) Audit Team providing coverage for Banking, Lending & Trust, Wells Fargo ... lines of business at wellsfargojobs.com. **In this role, you will:** + Perform audit testing components of assigned audits within multiple segments of the Audit… more
- Fastly (San Francisco, CA)
- …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 ... efforts, including administering our equity programs, employee education, compliance, audit and reconciliations, domestic and international taxation and filings, as… 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 ... Join us! **Job Description** : The Global Financial Crimes Manager is responsible for supporting the execution of substantive...financial crimes risk management reporting to GCOR and FLU Senior Leaders + Establish, monitor and report on GFC,… more
- HUB International (New York, NY)
- HUB International Limited ("HUB") is the 5th largest global insurance broker , providing a broad array of property, casualty, risk management, life and health, ... in the mergers and acquisitions. We are seeking a Senior Account Executive for our Risk Management Commercial Lines...day-to-day basis with prompt responses to the client and manager , where applicable. + Conduct in-depth coverage reviews of… more
- WTW (Philadelphia, PA)
- …financial and clinical models, build strategic relationships within the PBM and broker /consulting industry as well as gain experience in coalition management within ... WTW Innovation Hub (IHub) specific to industry-relevant topics such as Audit , Specialty, Data Analytics, Clinical and Marketplace Intelligence. **People** + Lead… more
- ACCO Brands (Lake Zurich, IL)
- …company for the future. **Job Summary** The North America Customs Compliance Manager provides structure and daily management of customs import operations and will ... identify compliance gaps and implement corrective action where appropriate. The Compliance Manager will participate in ACCO's global trade compliance team to ensure… more
- WTW (New York, NY)
- The claim account manager will operate within significant coverage, reserve and settlement authority. They will develop customer centric claim handling guidelines ... claim review meetings, and act as the focal relationship manager . Reporting directly to the head of claims, this...insured, the claim handling team, the insurance carrier, and broker to solidify claim servicing and problem solving. +… more
- Huntington National Bank (Columbus, OH)
- …externally with relevant regulatory bodies + Regularly participate in meetings with Senior Management, Risk Management, Internal Audit , and other key ... Treasury Funding Desk is seeking a Funding and Collateral Manager with relevant liquidity/trading experience, preferably within a large...the Head of Funding, the individual will be a senior member of the Funding Desk, supporting key initiatives… more
- Bank of America (Charlotte, NC)
- Global Financial Controls; US Bank Agency Reporting / Accounting Policy Manager Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a ... review, and submission of US financial regulatory reports for the bank, broker -dealer, and certain non-bank subsidiaries and works closely with business and finance… more
