- Charles Schwab (Austin, TX)
- …/Asset Management enterprise team is seeking a Senior Auditor ( Senior Specialist). The Broker - Dealer /Asset Management team provides internal audit ... Manager in the Broker - Dealer /Asset Management enterprise team, the Senior Auditor will have responsibility for assisting in the for the independent and… more
- JPMorgan Chase (Jersey City, NJ)
- …senior executives outside of Internal Audit and across the firm! As a Senior Internal Auditor , Associate on the Commercial and Investment Banking Finance ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- Lincoln Financial (Radnor, PA)
- …**Requisition #:** 74448 **The Role at a Glance** We are seeking an enthusiastic Senior IT Auditor who is a self-starter and initiative driven, ready to ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... and discuss issues, challenges and methodologies with internal audiences including senior management. Technical Skills (Essential) - Advanced degree in quantitative… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... leadership with interacting with supervisory authorities, audit committees, and senior audit leadership including metrics reporting to such parties. Demonstrates… more
- Charles Schwab (Lone Tree, CO)
- …Financial Responsibility Rule requirements. **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, ... assets with Schwab. The SCO is looking for a Senior Specialist to support the Information Technology (IT) portions...risks and controls + Collaborate with management, Schwab's external auditor , and other Schwab testing programs to enhance Schwab's… more
- City National Bank (Jersey City, NJ)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... AUDIT MANAGER- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth Management,… 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 ... and aggregate front line risk assessments and report results/recommendations to senior management. * Manage assigned staff and conduct appropriate coaching to… more