- Citigroup (Jersey City, NJ)
- The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/ Broker - Dealer and Consumer Wealth is a senior management level ... implement the AML risk management program for the US broker dealer and consumer wealth business lines,...senior stakeholders + Liaise with regulators and Citi internal audit staff for AML matters including coordinating AML related… more
- Ankura (New York, NY)
- …consulting, root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, ... has a full-time position for a Director / Senior Director in its Audit Advisory Practice. Audit Managing Directors provide subject matter expertise… more
- Scotiabank (New York, NY)
- …Markets, Compliance, Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with ... Director , US Internal Control & Global Wholesale Operations Audit to provide audit services to capital...environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit , risk,… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... to their manager. + Interfaces with regulators and Internal Audit during compliance related examinations / audits related to...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Ankura (New York, NY)
- …companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual ... Assist clients with state/federal exam preparation; + Draft remediation plans for exam/ audit findings and recommendations for Senior Director review and… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... Compliance Department Americas Division ("CPAD"), reporting to the Executive Director , Head of Risk and Control Assessment. As a...focus of this role will be on the US broker dealer and US swap dealer… 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 ... and talent development. Job Description Under the direction of the Director , execute a robust audit program including leading the timely execution of audit … more
- SMBC (Jersey City, NJ)
- …knowledge of BHC (eg FRY 9C and FFIEC009/009a reports), FRY 15 and broker dealer regulatory reporting requirements and report preparation + Experience with ... efficiency and effectiveness during the report production process. Reporting to the Director , Regulatory Reporting Controller, of PDAD FAD Controllers, the VP is… more
- SMBC (Jersey City, NJ)
- …requests. **Qualifications and Skills** + Strong knowledge of CUSO, BHC/IHC, Branch, Broker Dealer regulatory reporting requirements and report preparation + ... the compliance to applicable US regulatory reporting requirements. Reporting to the Director , Regulatory Reporting Controller, of PDAD FAD Controllers, the VP is… more