- 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 (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
- TD Bank (New York, NY)
- …strategies, operating processes, controls and infrastructure. This position supports the trading / sales managers and business heads at the Dealer, providing ... supervision practices and escalates key issues arising from Global Markets sales , trading and origination business activities. Specifically, GMS supports… 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)
- …our New York City Office. Job Description + Under the direction of the Director , maintain a robust audit program including overall management and/or leading the ... 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
- 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
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , US Counterparty Credit Risk - Hedge Funds...that measures and monitors counterparty risk from Scotiabank GBM's trading activities with clients. The US Counterparty Credit Risk… 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
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Associate Director , Global Capital Markets Documentation, GBM, New York,...activities and decisions. This includes ensuring the terms in trading documentation are executed within the Bank's risk tolerance… 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
- SMBC (New York, NY)
- …and related risk assessments (RCSAs) of SMBC Capital Markets, Inc. (CM) supporting the Sales & Trading Vertical BCO * Support Middle and Back office functions ... (CM) interactions with 2nd Line of Defense functions, Internal Audit , and Regulators pertaining to processes and controls. *...and manage SMBC Capital Markets, Inc. (CM), supporting the Sales & Trading Vertical BCO's vertical level… more
- Citigroup (New York, NY)
- …We partner extensively with a range of internal stakeholders including Front Office Sales and Trading Desks, Banking, Compliance, Legal, Finance and HR; ... the Business + Develop an effective control framework that fully meets Audit , Compliance and Regulatory requirements; delivery of periodic presentations to external… more
- TD Bank (New York, NY)
- …Global Head of Surveillance. This incumbent will ensure that surveillance alerts related to trading activities of firm employees ( sales and trading ) and ... professionals engages with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance, and Risk… more
- Scotiabank (New York, NY)
- …or audit . + Experience/background in compliance applicable to institutional trading & sales , investment banking, futures commission merchant, swap dealer ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy,… 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 ... About the Team The Internal Audit Department Americas (IADA) provides internal audit...ability to effectively support the team's Vice President and Director , with respect to the administrative management of IAD.… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... be located in New York and report to the Director , US Credit Risk - Financial Institutions. **What You'll...for, and responding to, questions from regulatory authorities and audit . + Ensure that all credit adjudication(s) and daily… more