- Wells Fargo (West Des Moines, IA)
- **About this role:** Wells Fargo is seeking an Exeuctive Director, Audit Manager on the Financial Crimes Audit Team. The Financial Crimes Audit Team ... risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance. **Job Expectations:** + Ability to travel up to 10%… more
- Charles Schwab (Lone Tree, CO)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit ... team is seeking a Senior Auditor (Senior Specialist). The Broker - Dealer /Asset Management team provides internal audit...office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management… more
- Huntington National Bank (Columbus, OH)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... office income and expense statements, quarterly SEC/Regulatory reporting and the year-end audit . + Interact with the Underwriting and Public Finance managers to… more
- M&T Bank (Baltimore, MD)
- …of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/ Participations. **Primary… more
- City National Bank (Jersey City, NJ)
- *SR AUDIT MANAGER - BSA/AML* WHAT IS THE OPPORTUNITY? The Senior Audit Manager will lead a team of auditors to assess the design and operating ... knowledge of risk management and/or internal control techniques of investment operations, broker dealer and wealth management is beneficial. *WHAT'S IN IT… more
- NatWest Markets (Stamford, CT)
- …management skills + Good written and verbal communication skills + Broker Dealer experience in supporting regulatory and business audit engagements is a ... Audit Manager Stamford,United States Permanent Full... Audit Manager Stamford,United States Permanent Full Time \#R-00251599 Our...operations of the department and the business._ As an Audit Manager , you'll be an ambassador for… more
- City National Bank (Jersey City, NJ)
- *SR AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director ... Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets,… more
- JPMorgan Chase (Jersey City, NJ)
- We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team. This is your opportunity to play a crucial role in ... enhancing our organization's governance and operational excellence! As an Audit Manager within our Asset Management Internal Audit Team, you will execute the… more
- JPMorgan Chase (Jersey City, NJ)
- We are on the lookout for a talented Audit Manager to join our Consumer and Community Banking Internal Audit team. This is your opportunity to play a crucial ... role in enhancing our organization's governance and operational excellence! As an Audit Manager on the Consumer and Community Banking Internal Audit Team,… more
- City National Bank (Jersey City, NJ)
- * MANAGER OF AUDIT SR- ENTERPRISE RISK MANAGEMENT* WHAT IS THE OPPORTUNITY? Responsible for managing complex audits and supervising auditors assigned to the ... audit in one of the following areas:The bank's financial...and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities.IT… more
- Robert Half Finance & Accounting (Hartford, CT)
- …its Financial Services Practice with SBIC audit services including PE, Hedge, Broker Dealer , Fund to Fund and Real Estate Funds. Minimum requirements include ... Description Assurance Manager to $175,000 plus bonus HYBRID WORK SCHEDULE...a CPA, a minimum of 4+ yrs. Audit experience in Financial Services and SBIC entities inducing… more
- Bank of America (Charlotte, NC)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... Enterprise Financial Risk Capital Risk Manager Charlotte, North Carolina;New York, New York **Job...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- Scotiabank (New York, NY)
- …testing or audit . + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment banking, ... Manager , Compliance Testing **Requisition ID:** 223397 **Salary Range:**...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- Aegon Asset Management (Cedar Rapids, IA)
- …policies. This candidate will support TFA's compliance program covering both the broker - dealer and investment advisor. The ideal candidate should have experience ... includes Finance, People and Places, General Counsel, Risk, Internal Audit , Strategy and Development, and Corporate Affairs, which covers...creating and performing testing related to the broker - dealer 's annual 3120 testing/reporting and to the… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This...required, under the management and oversight of a Team Manager . Is responsible for implementing policies and procedures and… more
- Capital One (New York, NY)
- …Trade Surveillance for Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker -Dealers. You will maintain the Surveillance ... decision-making. **Responsibilities:** + Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker...At least 3 years of experience as a people manager + At least 5 years of experience in… more
- Charles Schwab (Westlake, TX)
- …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in treasury ... the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios...audits of liquidity practices. We are seeking a Sr. Manager LRR to enhance and streamline our operations through… more
- City National Bank (Phoenix, AZ)
- …appropriate testing to measure and report results. Execute risk assessments for broker dealer , registered investment advisory, trust department and private ... *BUSINESS CONTROLS MANAGER - TRUST* WHAT IS THE OPPORTUNITY? This...Continuity, IT Risk, Vendor Risk, Corp. Security, Compliance, Internal Audit , etc. Responsible for the ongoing development and expansion… more