- 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 (Houston, TX)
- The Trader is a senior level position responsible for overseeing a trading book and managing book risk, in coordination with the Trading team. The overall ... and to coordinate with key stakeholders to develop the trading franchise. **Responsibilities:** + Oversee a trading ...franchise and connect with key clients + Coordinate with Sales , Research, CMand and other organizations across Markets and… 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
- 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
- Citigroup (New York, NY)
- **Job Description** + A Global Depositary Notes ("GDN") Product Sales / Trader is responsible for driving business growth through promotion, distribution, and ... trading of the product. The overall objective of this...manage risk for the respective business + Coordinate with Sales , Research, CMand and other organizations across Markets and… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... priorities, and emerging risks to the Bank. + Supporting the GBM&T Audit COO Director and Senior Manager in the administration, coordination, and facilitation of… more
- Scotiabank (Dallas, TX)
- …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
- 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
- CIBC (New York, NY)
- …and conducting training on specific rules and regulations which affect the Swap Dealer sales and trading desk's daily business activities; and 6) monitoring ... sales and trading activities to ensure compliance with CIBC policies and...US regulatory exams, compliance exams and audits by Internal Audit ; + Assisting in the preparation of written responses… 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
- Citigroup (New York, NY)
- …Banking team. The Director Salesperson also serves as an intermediary in trading for clients. The overall objective of this role is to act as strategic ... and raising capital for clients. **Responsibilities:** + Refine and implement sales /marketing strategy to improve Citi's client footprint and maximize associated… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , US Deputy CISO **Requisition ID:** 225315 **Salary...groups or advisors in various business areas (Internal Controls, Audit , Cyber Security, Privacy, Fraud, Resilience, Availability) to spearhead… more
- Citigroup (New York, NY)
- …and maintain a franchise and connect with key clients + Coordinate with Sales , Syndication, and other organizations across Markets and Securities Services and the ... + Coordinate with desk analysts as needed and with sales to develop the franchise and manage and mentor...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)
- …span corporate and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit ... Market Treasury/Money Markets & Funding - Director Key Responsibilities . Managing the bank's funding...with business users including treasury back office, Risk, and Audit . . Servicing business user inquiries and performing ongoing… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , US RCSA Program, 1LOD **Requisition ID:** 233240...change management and policy updates. + Supported regulatory and audit examinations by coordinating timely and accurate responses to… more
- SMBC (Jersey City, NJ)
- …+ Review and evaluate internal key controls in Banking, Capital Markets and Sales and Trading risk areas to ensure compliance with internal policies ... and knowledge of financial services industry including Corporate Lending, Capital Markets and Sales and Trading business. + Detail oriented, with proven ability… more
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