- Charles Schwab (Westlake, TX)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management team provides internal audit coverage of the ... and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors. The team's… more
- MUFG (New York, NY)
- …audit process (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction for staff on more complex audit ... team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for...demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such… more