- Morgan Stanley (New York, NY)
- …diversifying its workforce (M/F/Disability/Vet). **Job:** **Other* **Title:** * Internal Audit Director - Institutional Securities Technology* ... Director to provide audit coverage for application and system infrastructure supporting Institutional Securities Technology Audit . In the Audit … more
- Nuveen Investments (New York, NY)
- …to the development of strategy, and managing the execution of the Nuveen Securities , LLC and Nuveen Canada Company, Compliance Programs. Nuveen Securities , LLC, ... The position will be responsible for supporting aspects of the Nuveen Securities Compliance Program relating to distribution activities and expected to provide… more
- SMBC (New York, NY)
- …benefits to its employees. **Role Description** SMBC is seeking an Archer Analyst for the Internal Audit Department with 3+ years of experience for the 277 Park ... **Role Objectives** 1. Requirements Gathering: Collaborate with stakeholders within regional Internal Audit Departments (Americas, EMEA, APAC) to gather and… more
- SMBC (White Plains, NY)
- …Infrastructure (Vice President) with 7-10 years' experience to work within the Internal Audit Department, Americas Division. The individual will evaluate ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Conduct audit planning and closing meetings with Internal Audit and relevant Department Management +… more
- SMBC (New York, NY)
- …& state (CA and NY) laws and regulations is required. + Overall understanding of audit techniques, internal controls, audit principles and ability to manage ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- SMBC (New York, NY)
- …of 8 years' experience in the banking & finance industry to work within the Internal Audit Department. The Audit Manager will design and supervise execution ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...feedback to audit team which may include internal or co-sourced internal audit … more
- SMBC (New York, NY)
- …of 8 years' experience in the banking & finance industry to work within the Internal Audit Department. The Audit Manager will design and supervise execution ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...feedback to audit team which may include internal or co-sourced internal audit … more
- SMBC (White Plains, NY)
- …Infrastructure teams to provide responses to requests from the Regulatory Liaison team, Internal Audit Department and external auditors. The role requires the ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...impacting controls and audits are addressed + Engage with Internal Audit Department, IT Risk and Control… more
- Scotiabank (New York, NY)
- Director, Internal Control - Global GBM Regulatory Controls **Requisition ID:** 197516 **Salary Range:** 174,700.00 - 286,000.00 _Please note that the Salary Range ... include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives,… more
- SMBC (Jersey City, NJ)
- …Delivery** Execute regular 3LOD audits of IT change programs in accordance with audit methodology; evaluate adherence to internal firm policy and assess ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...regulations; and client universe. Stay abreast of developments in internal firm IT policy and audit methodology… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... offers a range of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client base to local… more
- Morgan Stanley (New York, NY)
- …maintains significant market positions in each of its business segments Institutional Securities , Wealth Management, and Investment Management. Morgan Stanley, ... clients and customers, including corporations, governments, financial institutions, and individuals. Institutional Securities provides a variety of products and… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... offers a range of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client base to local… more
- Scotiabank (New York, NY)
- …stakeholders. + Identify and escalate compliance issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance to ... include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives,… more
- SMBC (New York, NY)
- …Description** This role will manage and oversee all Compliance-related issues (ie, Internal Audit , Compliance, self-identified and Regulatory), as well as ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Citigroup (New York, NY)
- Rates is a market maker in sovereign and agency securities , interest rate derivatives, structured notes and secured financing. We are a primary dealer in market ... rates products including government securities across multiple jurisdictions and is a global liquidity...functions such as Legal, Compliance, Market and Credit Risk, Audit , Finance in order to ensure appropriate governance and… more
- SMBC (Jersey City, NJ)
- …+ Lead efforts for process/system enhancement initiatives required to meet internal audit and/or regulatory expectations; Identify and analyze issues ... (eg, UIPath, Alteryx, PowerBI) + Manage key relationships across the Finance organization, Internal Audit , and other divisions (incl. Risk and Data Management)… more
- Bank of America (New York, NY)
- …and Power Point applications, as well as ACAM and/ CFE Certification and Audit , Economic Sanctions or Compliance experience preferred. Securities licenses Series ... on activity in Global Markets - Bank of America Securities ("BofAS), and Global Wealth Investment Management - Merrill...to meet BSA regulatory expectations as well as supporting internal policy requirements. The candidate will use various tools… more
- Citigroup (New York, NY)
- …ability to effectively engage with regulators and internal control functions including + Internal Audit and Fundamental Credit Risk as well as with external ... continues to enhance its business control and governance framework by building out Institutional Credit Management (ICM), a new function in the 1st Line of Defense,… more
- SMBC (White Plains, NY)
- …and execution. + Coordinates CDO's interactions with 2nd Line of Defense functions, Internal Audit , and Regulators pertaining to data processes, risks and ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...of experience in a similar role in Controls Office, Internal Audit , Compliance or a closely related… more