- 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
- MUFG (New York, NY)
- …A member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading ... (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establishes direction for...Capital Markets including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such… more
- State of Colorado (Denver, CO)
- …accurate and relevant compilations of financial information with guidance from the senior staff auditor ; + Preparing written internal communications regarding ... by the Division's examination section in the course of their broker - dealer and/or other examinations. Minimum Qualifications, Substitutions, Conditions of… 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
- Comerica (Frisco, TX)
- …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