- HSBC (New York, NY)
- …control , or internal audit preferably within a financial / banking services operations environment + Relevant experience in control testing, Internal Audit, ... **Description** #LI-DL2 #HSBCUSA MSS Control Testing Manager role act as an independent... processes within MSS, to provide comfort that the business is operating in line with relevant laws, regulations,… more
- Guardian Life (New York, NY)
- …to translate compliance and regulatory changes into the implications for PAS's business process and control environment + Excellent inter-personal relationship ... The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the...in leading a team of associates providing guidance to business partners; oversight/surveillance to the firm's daily transactions and… more
- Bank of America (New York, NY)
- Business Control Manager-Broker Dealer Customer Protection Manager-Global Market Operations New York, New York **Job Description:** At Bank of America, we ... discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF)....Assurance - Working knowledge of equities clearing, broker dealer operations , and Securities and Exchange Act Regulations.… more
- Scotiabank (New York, NY)
- …experts. The Director will coordinate heavily with stakeholders, including Compliance, Operations , Internal Control , Client Onboarding, Global Regulatory and ... Director, Internal Control - Global GBM Regulatory Controls **Requisition ID:**...is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US 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 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers… more
- S&P Global (New York, NY)
- …Role:** **Grade Level (for internal use):** 11 **The** **Role:** Lead Security Operations Engineer **The Team:** S&P Ratings Security team focuses on protecting our ... . Responsible for the design, implementation, and management of the Security Operations activities . Enhance the deployment process by improving the usability,… more
- Citigroup (Jersey City, NJ)
- …to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues ... Other job-related duties may be assigned as required. **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives… more
- JPMorgan Chase (Jersey City, NJ)
- …As an Associate Business Manager, you will be part of the Payments Operations Business Management team. You will provide support to the Head of Payments ... with the Head of Payment Operations , corporate communications, and Payment Operations business owners + Own and maintain important organization documents,… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** Within the Compliance Operations Department, the Account Control Group (ACG) QC is responsible ... 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 (Jersey City, NJ)
- …Management, Equities or Fixed Income Trade Management, Futures and Clearing Operations , Funding, Liquidity & Inventory Management, Securities Settlements with ... budgeting and forecasting. Developing and coaching talent. **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives… more
- SMBC (New York, NY)
- …work experience within the financial services industry with focus on business information security operations (BISO), operational resilience, cyber security, ... 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 (Jersey City, NJ)
- …Collaborating with other internal areas including: Legal, Business Management, Operations , Technology, Finance, other Control Functions, and In- Business ... Serves as a Control Group compliance officer, specifically relating to research...addition, engages with the ICRM Product, Banking & Research business teams, in order to partner, develop and apply… more
- Citigroup (New York, NY)
- …experience, potentially Masters degree **Job Family Group:** Risk Management **Job Family:** Business Risk & Control **Time Type:** Full time **Primary ... **Job Description** The Supervision team sits within Markets and Securities Services, working alongside Trading and Sales businesses and various functions including… more
- Hold Brothers (New York, NY)
- …leading self-clearing proprietary broker-dealer, is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage operations , related affiliates ... accounting controls and functions. This individual will collaborate with business unit and functional teams for the end to...and senior management to work on day to day operations of proprietary trading firm. + Work with management… more
- Morgan Stanley (New York, NY)
- …drive consistency in QC testing and outcomes as appropriate * Good knowledge of business , products, operations , systems and organization to be able to implement ... financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve… more
- Morgan Stanley (New York, NY)
- …efficiencies, using digital tools like Alteryx and Tableau. > Partner with the Business Unit, Risk Management, Technology, Operations , and other Controllers to ... financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve… more
- Morgan Stanley (New York, NY)
- …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve ... (Rates Trading and FXEM Trading) in Fixed Income Product Control . The Rates Trading team consists of 3 employees...will face off to many front office, Market Risk, Operations and Finance clients. The role requires flexibility and… more
- SMBC (White Plains, 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 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers… more
- SMBC (White Plains, NY)
- …span of control , negotiate and resolve conflicts, and work with business users, IT partners and vendors. * High-Level customer service mindset and commitment ... 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 (White Plains, 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 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers… more