- SMBC (New York, NY)
- …lead audit coverage of Front Office and associated support functions including Sales , Trading , risk management and Operations within the Internal Audit ... related to market activities including Dodd Frank, Volcker and Trading supervision + Expert knowledge of audit ...and Trading supervision + Expert knowledge of audit techniques, risk, and internal controls assessment, and workpaper… more
- SMBC (New York, NY)
- … with a minimum of 10-15 years' experience in the relevant financial industry and audit experience covering sales and trading businesses with focus on ... to be able to lead or execute other capital market related audit coverage, including sales , trading capital market, and operations. The ideal candidate will… more
- Citigroup (New York, NY)
- …a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible for check ... regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit , and external auditors on critical Compliance issues and oversees the… more
- TD Bank (New York, NY)
- …strategies, operating processes, controls and infrastructure. This position supports the trading / sales managers and business heads at the Dealer, providing ... supervision practices and escalates key issues arising from Global Markets sales , trading and origination business activities. Specifically, GMS supports… more
- Mizuho Corporate Bank (New York, NY)
- …our New York City Office. Job Description + Under the direction of the Director , maintain a robust audit program including overall management and/or leading the ... the areas below highly preferred (but not required): equity, sales and trading or research (including equities,...advisory services. + Coordinate with or assist other IADA Audit Groups, as needed. + Assist the Director… more
- Citigroup (New York, NY)
- …also work with the broader franchise across Global Markets, including: High Touch Cash Sales Trading , Program Trading , Prime Brokerage, Advisory and ... cash trading needs - working closely with Sales Trading and Execution Advisory Services team...functions such as Legal, Compliance, Market and Credit Risk, Audit , Finance in order to ensure appropriate governance and… more
- Mizuho Corporate Bank (New York, NY)
- …City Office Job Description + Under the direction of the Vice President or Director , execute a robust audit program including performing the timely execution of ... Audit Groups, as needed. + Assist the Vice President/ Director with maintaining an Off-Site Monitoring Program for the...and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , Markets Compliance Officer **Requisition ID:** 225527 **Salary...will provide senior compliance support for the Scotiabank US Sales and Trading businesses by acting as… more
- Citigroup (New York, NY)
- **Senior XVA Trader - Rates & Currencies LATAM and Spread Products** **Markets Counterparty Trading & Risk** **Level - C15 / Director ** Counterparty Trading ... & Risk is a global business including XVA Trading , In-Business Credit Risk Management and Capital Management. XVA...targets more efficiently. **Job Overview:** + This New York-based Director role will be managing a team of traders… more
- Citigroup (New York, NY)
- The Director , Equity Derivatives Sales - PEF & AM North America is a senior-level position responsible for selling equity derivatives to Real Money clients, ... Insurance companies. The Director Salesperson also serves as an intermediary in trading for clients. The overall objective of this role is to act as strategic… more