- 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
- JPMorgan Chase (New York, NY)
- …of SRO and SEC rules and regulations relating to investment banking syndicate, sales , trading , and capital markets. Ability to work both independently and ... quo and striving to be best-in-class. As the Compliance Risk Management Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will… more
- 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
- TD Bank (New York, NY)
- …sales , trading and origination activities is a core competency. The Director Trading Business Management TDS is responsible for the planning, direction, ... and coordination of trading operations within The Bank. This position is also...other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions + Contributing… more
- Scotiabank (Dallas, TX)
- Director , US IT, Application and Data Audit **Requisition ID:** 243847 **Salary Range:** 157,700.00 - 264,200.00 _Please note that the Salary Range shown is a ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy,… more
- Scotiabank (New York, NY)
- …be required to work as part of the team and assist the Senior Managers and/or Director , US Capital Markets Audit to provide audit services to capital ... Audit Manager, US Capital Markets **Requisition ID:** 240530...managing risks in trading activities. Assess the trading and sales practices controls within Front… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for an Audit Manager to join our Internal Audit & Risk Consulting team focusing primarily on our Asset Management business. In ... the achievement of the organization's business objectives by performing risk-based internal audit and advisory services. + Lead the evaluation of key risks that… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... incumbent will be required to work as part of the team and assist the Director , US AML Audit to provide audit services over the US AML program. The incumbent… 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
- 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 (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , Global Sanctions Exam Management, Regulatory and Emerging...sanctions exam management that would entail leading efforts on audit -related matters, as well as leading environmental landscape analysis… more
- MUFG (New York, NY)
- …together with existing Business Management team, support the International Global Markets Sales & Trading businesses. His/her primary focus will be supporting ... Head of Global Markets Business Management + Ensuring that the Front Office Sales & Trading roles, responsibilities, processes and controls are appropriately… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... and Backup Recovery, Third Party Management, Project Management, and Audit & Regulatory issue remediations. Director , IT...Management, and Audit & Regulatory issue remediations. Director , IT Risk (CIO Risk Advisor) directly supports the… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , US Deputy CISO **Requisition ID:** 244515 **Salary...groups or advisors in various business areas (Internal Controls, Audit , Cyber Security, Privacy, Fraud, Resilience, Availability) to spearhead… 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 ... individual to join our Stress Testing and Capital Analysis team as a Director . The Stress Testing and Capital Analysis team sits within the firm's Enterprise… 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 ... key stakeholders in Front Office, Technology, Finance, Treasury, Regulatory Reporting and Audit (6) Delivering top tier customer service to all external and internal… more
- CIBC (New York, NY)
- …group provides direct day-to-day support for CIBC's US Capital Markets business, primarily Sales and Trading , Debt Capital Markets and Corporate and Investment ... controls involving people, technology, processes or external events that arise from audit and control testing. The role applies advanced concepts to provide guidance… more
- NextEra Energy (Atlanta, GA)
- …normalization, and risk premiums into accurate, timely quotes. Partner closely with Sales , Supply, Customer Operations, Risk, and Legal to win competitively, execute ... Risk; drive corrective actions. + Deal lifecycle integration: Coordinate across Sales , Supply, Customer Operations Support, Risk, Credit, and Legal through… 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 ... Mizuho Americas Enterprise Risk Management is seeking a highly skilled Executive Director with extensive hands-on experience in Quantitative Credit Modeling to join… more
- Takeda Pharmaceuticals (Boston, MA)
- …standard reporting and other metrics as required. Support all compliance and audit reviews. + Coordinate resources to support for cross-functional projects and ... formulary/benefit compliance, data validation and rebate calculations. Adhere to all audit requirements and any/all reporting regulations as defined within Takeda's… more
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