- 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
- 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
- Citigroup (New York, NY)
- …trading floors in almost 80 countries. The strength of our underwriting, sales and trading and distribution capabilities span asset classes (Commodities, ... and Internal Audit findings. + Real-time monitoring of Citi's algorithmic trading activities for signs of disorderly trading . + Design, deliver, and… more
- MUFG (New York, NY)
- …closely with Risk Managers to support and enhance processes + Participate in audit and regulatory engagements + Work with Risk stripe lead, Technology and Data ... Officers to build and support sustainable control assessment model + Own and enhance policy and procedures relating ICRO + Supports the execution of strategic initiatives in collaboration with internal and external stakeholders **Requirements:** +… more
- Citigroup (New York, NY)
- Counterparty Trading & Risk is a global business including XVA Trading , In-Business Credit Risk Management and Capital Management. XVA Trading is responsible ... and asset classes. In-Business Credit Risk Management works closely with XVA Trading , Institutional Credit management (ICM) and Risk to continually monitor and… more
- Mizuho Corporate Bank (New York, NY)
- …management and talent development. Job Description + Under the direction of the Director , maintain a robust audit program including overall management and/or ... 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
- Citigroup (New York, NY)
- …Metals Sales /Structuring role at a Financial Institution or Commodities Trading House + Strong understanding of physical precious metals and physical financing ... technical authority across the full precious metals value chain, the Director Salesperson will be responsible for developing our Corporate and Institutional… 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
- Mizuho Corporate Bank (New York, NY)
- …span corporate and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit ... functions required to be executed as part of the audit process, including but not limited to, issue validation,...or special projects as may be directed by the Director . + Cooperate with directives and requests from IADA's… more