- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking an experienced Compliance Senior Auditor with 3 to 5 years' compliance audit experience in the ... & finance industry to work within the Internal Audit Department (IAD). The Senior Auditor will participate in the execution of compliance-related internal audits… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members ... IADA leadership with interacting with supervisory authorities, audit committees, and senior audit leadership including metrics reporting to such parties. +… more
- Citigroup (New York, NY)
- The Senior Audit Manager is a senior ...role focusing on coordinating the assurance coverage of the Broker Dealer - Citi Global Markets Inc. This role ... and manage a budget. + Manage coverage of US broker dealer entity (CGMI) by working collaboratively across silos...Coordinating with Head of Internal Audit and Markets Chief Auditor for presentation of key management information related to… more
- KPMG (Austin, TX)
- …import/export in the field of trade and customs as a customs attorney, customs broker , industry trade specialist, US Customs auditor , or import specialist, which ... **Business Title:** Associate/ Senior Associate, Trade and Customs (Mandarin speaking) **Requisition...for as a firm. KPMG is currently seeking a Associate/ Senior Associate, Trade and Customs (Mandarin speaking) to join… more
- Tradeweb (New York, NY)
- …audit strategy for a cutting-edge financial services company, including working with senior leadership and the business, technology and corporate teams to assess ... controls to mitigate risks across the organization + Communicate and work with senior leadership for the timely resolution of internal audit findings / control… more
- MUFG (New York, NY)
- …A member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading ... end-to-end audit process (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction for staff on more… more
- AIG (Houston, TX)
- …is part of the Underwriting support career progression and may report to a Senior Specialist, UW Support, Team Leader, or to a Team Manager, Underwriting Support. ... appetite. Triages submission for missing information and follows up with the broker for outstanding items. + Performs a comparison of renewal submission information… more
- MUFG (New York, NY)
- …changes. + Strong history and knowledge in technology with experience in Technology auditor . + Preferably worked in the Broker -Dealer world and handled multiple ... day. A member of our recruitment team will provide more details. Senior Technology Auditing, Compliance, & Governance Manager will ensure the integrity,… more
- MUFG (New York, NY)
- …Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly desirable, preferably within the associated areas ... years of relevant experience performing operational risk analysis as a risk analyst, auditor , regulator, or similar capacity in the financial services industry + The… more
- Truist (Raleigh, NC)
- …effective standards/ processes; set/monitor quality performance expectations/results. Interface with senior executives across the enterprise to develop a strategic ... as well as industry and bank issues, to effectively match them. 3. Broker and direct the design, engineering, implementation, and support of application software… more