- Charles Schwab (Westlake, 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
- Charles Schwab (Phoenix, AZ)
- …and (vi) middle and back office operational functions. Reporting to a Director or Senior Manager of the Broker - Dealer /Asset Management team, the Internal ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Comerica (Detroit, MI)
- …FOCUS or OBS report submissions. * Maintain the general ledger for the broker dealer , including recording entries, performing a monthly close process and ... external financial reporting and accounting for Comerica Securities, a FINRA regulated broker - dealer and a subsidiary of Comerica, Inc. Inaccurate reporting or… more
- Charles Schwab (Lone Tree, CO)
- …ability to develop talent **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, varied ... prepare and review, and this position reports to the Senior Team Manager, IT Audits and SOX Compliance. This...with the SCO's BP control teammates, management, Schwab's external auditor , and other Schwab testing programs to enhance Schwab's… more