- Charles Schwab (Westlake, TX)
- …Testing, Reg YY. * Demonstrated detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer. * Regulatory financial ... liquidity and funding planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory… more
- Wells Fargo (Addison, TX)
- …+ Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance. **Job Expectations:** + Ability to travel up to 10% of the ... The Financial Crimes Audit Team provides horizontal audit coverage of financial crimes risk across Wells Fargo lines of business. The Financial Crimes Audit Team… more
- Bank of America (Plano, TX)
- …**Skills:** + Adaptability + Analytical Thinking + Influence + Production Support + Risk Management + Automation + Collaboration + Innovative Thinking + Result ... Production Services Specialist Plano, Texas **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives better through… more
- Wells Fargo (Addison, TX)
- …or Commissioned Bank Examiner designation + Experience in portfolio management , investment strategy, broker /dealer operations, wealth management , ... Wells Fargo is seeking a Senior Auditor on the Wealth and Investment Management (WIM) Audit Team providing coverage for Banking, Lending & Trust, Wells Fargo… more
- Broadridge Financial Solutions (Coppell, TX)
- …business partners by executing efficient audit work and offering suggestions to enhance risk management based on an enterprise-wide view of technology risk ... areas: systems and network operations and/or administration, internal audit, technology risk management , information security, or IT program management… more
- JPMorgan Chase (Plano, TX)
- …operational risk , and supervisory requirements within JP Morgan Wealth Management . Our firm provides comprehensive strategies and expertise across asset classes ... JP Morgan Wealth Management provides individuals, advisors and institutions with strategies...OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK , NA OR ANY OF ITS AFFILIATES * SUBJECT… more
- Charles Schwab (Westlake, TX)
- …the status quo" and transform the finance industry together._ The Liquidity Risk Management group within Treasury manages liquidity planning across the ... corporation and its subsidiaries, including our bank and broker -dealers. We monitor regulatory ratios...and non-functional (data handling, governance) capabilities needed for Liquidity Risk Management . + Perform daily validation and… more
- Broadridge Financial Solutions (Coppell, TX)
- …Fintech leader, delivering technology-driven solutions that drive digital transformation for banks , broker -dealers, asset and wealth managers and public ... alter or impact our PKI Infrastructure or processes. + Support all domain management tasks, procurements, transfers, and domain record updates. + Bring maturity to… more
- Broadridge Financial Solutions (Coppell, TX)
- …to IT systems, cloud environments, or security controls. + Basic knowledge of risk management or audit processes. Compensation Range: The salary range for ... Fintech leader, delivering technology-driven solutions that drive digital transformation for banks , broker -dealers, asset and wealth managers and public… more
- Deloitte (Fort Worth, TX)
- …from every sector of the industry, including investment managers, broker -dealers, banks , insurance companies, mutual funds, investment partnerships, ... and taxation to provide tax compliance and consulting services to investment management clients. You will identify complex tax issues and provide tax analysis… more
- Charles Schwab (Westlake, TX)
- …Executive Management to improve the efficiency of governance processes, risk management , and internal controls. The Corporate internal audit enterprise ... team is responsible for execution of audits over the firm's corporate and risk management functions. Corporate audits cover areas such as marketing, finance,… more
- Broadridge Financial Solutions (Coppell, TX)
- …Fintech leader, delivering technology-driven solutions that drive digital transformation for banks , broker -dealers, asset and wealth managers and public ... and complete, supporting development, testing, and user acceptance activities + Support risk and issue identification, and mitigation activities with the agile team… more
- Advancial (Dallas, TX)
- …and recommendations as needed. Oversees and completes Federal Home Loan Bank and Federal Reserve reporting requirements within the required timelines Manages ... or recommendations as needed. Manages, evaluates and maintains investment broker requirements, including background checks and approvals. Present any challenging… more