- 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
- TD Bank (New York, NY)
- …sales , trading and origination activities is a core competency. The Director Trading Business Management TDS is responsible for the planning, direction, ... and coordination of trading operations within The Bank. This position is also...other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions + Contributing… more
- Scotiabank (Dallas, TX)
- Director , US IT, Application and Data Audit **Requisition ID:** 243847 **Salary Range:** 157,700.00 - 264,200.00 _Please note that the Salary Range shown is a ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy,… more
- Scotiabank (New York, NY)
- …be required to work as part of the team and assist the Senior Managers and/or Director , US Capital Markets Audit to provide audit services to capital ... Audit Manager, US Capital Markets **Requisition ID:** 240530...managing risks in trading activities. Assess the trading and sales practices controls within Front… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for an Audit Manager to join our Internal Audit & Risk Consulting team focusing primarily on our Asset Management business. In ... the achievement of the organization's business objectives by performing risk-based internal audit and advisory services. + Lead the evaluation of key risks that… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... incumbent will be required to work as part of the team and assist the Director , US AML Audit to provide audit services over the US AML program. The incumbent… 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
- TD Bank (New York, NY)
- …allowing the Business to grow and evolve and "get to yes" faster. The Director Trading Business Management TDS is responsible for the planning, direction, and ... impact assessment and gap analysis, deliver requirements, control design, audit and remediation. In addition, BRI supports the 6...guidance + Draft procedures and advise on procedures for sales and trading ; map against compliance policies… more
- TD Bank (New York, NY)
- …professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk ... for this role. **Job Description:** TD Securities Compliance team is seeking a Director -level candidate to lead the Surveillance Data Quality Team. This is a global… more
- MUFG (New York, NY)
- …together with existing Business Management team, support the International Global Markets Sales & Trading businesses. His/her primary focus will be supporting ... Head of Global Markets Business Management + Ensuring that the Front Office Sales & Trading roles, responsibilities, processes and controls are appropriately… more