- 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
- 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)
- …and talent development.Areas of scope for the role include but are not limited to audit of credit risks in banking and trading portfolio. This role is hybrid ... SUMMARYManage and maintain a robust audit program and risk management framework, including leading...and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody 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, ... will be required to work as part of the team and assist the Director , US IT Audit to provide audit services over the US IT environment. The incumbent… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... with BSA/AML/OFAC regulatory examinations. The candidate will support the Director , US AML Audit by evaluating the...candidate will support the Director , US AML Audit by evaluating the control environment, fostering an inclusive… 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