- 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
- 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