- 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
- Citigroup (Jacksonville, FL)
- he Senior Auditor is an intermediate level role responsible for performing moderately complex audits and assessments of Citi's risk and control environments in ... to the end-to-end customer experience. + **Strong knowledge of wealth management, broker dealer , investment adviser functions preferred** . + **Ideal candidate… 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
- City National Bank (Charlotte, NC)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... *COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Senior...deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor … 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 ... *COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Senior...deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor … 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 ... end-to-end audit process (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction for staff on more… more
- City National Bank (Charlotte, NC)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance… more
- MUFG (New York, NY)
- …Sales and Trading, Interest Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly desirable, ... years of relevant experience performing operational risk analysis as a risk analyst, auditor , regulator, or similar capacity in the financial services industry + The… more