- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- Bank of America (New York, NY)
- …Performance Management + Referral Management + Workforce Planning + Due Diligence + Internal Audit Review + Leadership Development + Recruiting + Risk Management ... legacy, and other life goals through investment advice and guidance. Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the… more
- CIBC (New York, NY)
- …to; new business initiatives, management reporting, governance and controls and internal audit /deficiency remediations. The US Capital Markets Business ... Management team, you'll serve as an extension of the Corporate and Investment Banking revenue generating business team(s) by...and their supporting infrastructure groups as well as their internal and external vendors, brokers and suppliers. The US… more
- BMO Financial Group (New York, NY)
- …with the Fixed Income, Currencies, and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations ... current and aligned with BMO Compliance Program. Work with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are… more
- TD Bank (New York, NY)
- …and participate in improvements implementation** + **Support testing engagements from Internal Audit , Compliance Quality Assurance, and others** **Job Summary:** ... in a governance related field (eg Compliance, Risk Management, AML, Legal, Audit )** **Customer Accountabilities:** + Proactively advises the business of new and… more
- TD Bank (New York, NY)
- …to ensure Trading operational risks are appropriately managed and adherence to internal policies / procedures and applicable regulatory guidelines is effective. This ... control function partners (eg Risk, Legal, Compliance, AML and Audit ) to assess risks, develop and implement proactive strategies,...RSM teams; and other support groups. + Interface with Internal and External Auditors / Examiners as needed, and… more
- TD Bank (New York, NY)
- …trading line logs + Prepares monthly reports + Maintains required documentation for internal audit + Prepares other related materials as required + Ensures ... Cross Asset Trading portfolios are complete + Maintains required documentation for internal audit + Demonstrates governance, control and risk management… more
- CIBC (New York, NY)
- …US Capital Markets business, primarily Sales and Trading, Debt Capital Markets and Corporate and Investment Banking. The group's primary role is to assist in ... US Business Management strives to ensure a sound control environment and provides financial advice to support the business strategy. This role is responsible for… more
- Tradeweb (New York, NY)
- …program strategy. **Qualifications** + Minimum 7+ years of experience in enterprise risk, internal audit , or operational risk management within a regulated ... testing results, evidence, and outcomes in Archer GRC, ensuring consistency with internal policies and audit standards. + Collaborate with 1LoD functions… more
- Brink's (Albany, NY)
- …retail solutions, and ATM managed services. Our customers include financial institutions, retailers, government agencies, mints, jewelers, and other commercial ... currency and coin processing, ATM servicing, and value-added services to financial institutions, retailers, and commercial and government entities.At Brink's, we… more