- SMBC (New York, NY)
- …7 years' experience in the banking & finance industry to work within the Internal Audit Department. The Audit Manager will report to the Risk Stripe ... feedback to audit team which may include internal or co-sourced internal audit ...Market Risk a plus - Understanding of audit techniques, internal controls, and workpaper standards.… more
- Tradeweb (New York, NY)
- …support the delivery of periodic risk assessments and annual planning to develop the Internal Audit Plan + Support the Director of Technology Audit in ... members and monitor their performance against internal audit methodology requirements + Perform manager reviews... risk trends and feed this information into Internal Audit 's risk assessment process… more
- SMBC (New York, NY)
- …in the broker dealer & financial industry to work within the Internal Audit Department. The Audit Manager will design and supervise execution of ... Description** SMBC is seeking an experienced Vice President - Audit Manager with a minimum of 8...regulators. **Qualifications and Skills** - Minimum of 8 years internal audit experience in the banking and… more
- SMBC (New York, NY)
- …functions including Sales, Trading, risk management and Operations within the Internal Audit Department. The ideal candidate will be responsible for ... its employees. **Role Description** SMBC is seeking an experienced audit manager with a minimum of 10...Dodd Frank, Volcker and Trading supervision Expert knowledge of audit techniques, risk , and internal … more
- Capital One (New York, NY)
- … Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Risk Manager (CRM) 1+ years of experience performing data analysis in ... oral presentations. Provide significant input into the development of the annual audit plan. Design and execute internal control testing for standardized… more
- SMBC (New York, NY)
- … audits, periodic reviews, and ad-hoc requests. - Support interactions with internal audit and control departments for monitoring and testing activities. ... audit submissions as well as timely escalation of risk -related matters to the Risk Coordination Team...Head Office, and regulatory bodies. - Collaborate effectively with internal risk management colleagues and leadership. -… more
- RGP (New York, NY)
- Reference Point, an affiliate of RGP, is actively recruiting a Senior Manager within our Risk & Regulatory Compliance practice. Our Senior Managers lead teams of ... Banking, Insurance, and Capital Markets clients. As a Senior Manager in Reference Point's Risk & Regulatory...thinking. + Lead and manage client engagements focused on risk management, regulatory compliance, and audit remediation… more
- HSBC (Buffalo, NY)
- Sanctions Advisory Manager Brand: HSBC Area of Interest: Risk and Compliance Location: Buffalo, NY, US, 14210 Work style: Hybrid Worker Date: 21 Oct 2025 In ... for HSBC US. The US Financial Crime Sanctions Advisory Manager is responsible for providing subject matter expertise and...+ Identify, review, and mitigate sanctions and export controls risk posed by HBUS customers, including through Know Your… more
- HSBC (New York, NY)
- …work location. Qualifications + Substansial experience as a regulator, or a senior compliance manager across all areas of Compliance risk within a global firm, ... ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices. With...formal accountancy qualification or professional background in a relevant risk or audit discipline As an HSBC… more
- PSEG Long Island (Hicksville, NY)
- …lead the Procurement audit efforts, in conjunction with PSEG Internal Audit Staff. Responsible for oversight of SAP's Risk and Remediation solution as it ... Risk Assessment, Supplier Performance Management Program and Vendor Audit program (AP and Contracts). Oversee the Procurement compliance program (encompassing… more
