Position Summary: The Manager will be primarily responsible for overseeing the day-to-day accounting and regulatory... compliance functions for the broker-dealer operations. This role ensures that all financial reporting, regulatory filings...
and back office operational functions. Reporting to a Director or Senior Manager in the Broker-Dealer/Asset Management..., and internal controls. The Broker-Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist). The...
. What you have 3 - 5+ years of financial services-related audit experience with growing responsibility. Corporate, Broker Dealer, Bank... cover areas such as marketing, finance, treasury, accounting, vendor management, and human resources. Risk Management audits...
with Wholesalers. Follow the rules and regulations set forth by the credit union, FINRA, SEC and the broker/dealer. Represent the... with Program Manager and train, if necessary, with Program Manager. Drive investment and program integration initiatives...