- 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
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... while assisting the team with month end closing and audit support. Scope: Reporting to the Executive Director...and financial reporting process + Good knowledge of securities broker dealer business, financial products and regulatory… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... reports, and other daily accounting functions. Reporting to the Director of Accounting, this position will be responsible for...financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus)… 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