-Dealer/Asset Management enterprise team is seeking an Internal Audit Manager. The Broker-Dealer/Asset Management team... to a Director of the Broker-Dealer/Asset Management enterprise team, the Internal Audit Manager will have responsibility for the...
Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT Auditor (Senior Specialist, Internal Audit - Technology... Executive Management to improve the efficiency of governance processes, risk management, and internal controls. The Broker...
functions. Reporting to a Director or Senior Manager in the Broker-Dealer/Asset Management enterprise team, the Senior Auditor...+ years of financial services-related audit experience with growing responsibility. Broker Dealer/Asset Management experience...
Broker/Dealer Margin Manager, Vice President Who we are looking for An individual with 5+years securities industry... experience working in equity and fixed income instruments within broker dealer margin department. Experience with operations...
We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team... within our Asset Management Internal Audit Team, you will execute the annual audit plan, manage audit engagements, perform audit...
and operational excellence! As an Audit Manager within our Asset Management Internal Audit Team, you will execute the annual audit... requirements (e.g., 12 CFR 9) related to asset management, investment advisor, broker-dealer and fiduciary activities. Knowledge...
work experience within the broker dealer, investment advisory, asset management industries. Relevant experience in a public... and benchmarks to embed within the Internal Audit function for the Wealth Management LOB Client Facing Role: Develop and manage...
to broker dealers Broker-Dealer Compliance experience Project management, Lean, and/or Six Sigma experience License.... This position is responsible for executing the Institutional Asset Management and Capital Markets Compliance Program of the Bank...
Job Category: Auditing Job Description: We are on the lookout for a talented Audit Manager to join our Connected... Commerce & Consumer & Community Bank Strategy - Internal Audit team. This is your opportunity to play a crucial role...
to ensure accurate and timely settlement of large cash and securities transactions. Lead ongoing internal audit reviews... best practices. Extensive experience in settlement operations with third-party bank custodians in either a broker/dealer or banking...