- MUFG (New York, NY)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... execution of the end-to-end audit process (eg planning, fieldwork testing , reporting, issues validation, etc.). The Senior Auditor I...May supervise staff during an audit engagement at the VP Level and below. **Major Responsibilities:** + Act as… more
- HSBC (New York, NY)
- …compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong managerial, ... of Defense (2LOD) function that undertakes risk-based monitoring and testing of processes and outcomes of First Line of...reviews on issues, opportunities and/or strategic change. As our VP Risk and Compliance Assurance you will: + Utilize… more