- Robert Half Management Resources (New York, NY)
- …As our Audit Director , you will be tasked with conducting broker - dealer audits, developing and implementing audit programs, and managing accounting ... Description We are searching for a meticulous Audit Director to join our team...or related experience very helpful. Must have knowledge of Broker Dealer domain. Responsibilities: * Oversee … 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
- Citizens (Tarrytown, NY)
- …regulations applicable to any and all business activities which involve any affiliated broker dealer /RIA or trust business. The individual must possess an expert ... solutions on compliance issues and escalate to the Compliance Director where appropriate. Additionally, you will work with other...level knowledge of all applicable rules/regulations related to broker dealer /RIA and trust activities. . Primary… more
- Citizens (Tarrytown, NY)
- …in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment Advisor, and RIA serving ultra-high net worth ... analyzing, and identifying emerging risks, escalating to the Senior Director / Director of First Line Risk where appropriate....+ 6+ years' Risk and Compliance experience with advanced Broker - Dealer , Registered Investment Advisor, 12 CFR 9… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... also fit for purpose. The role reports to the Director , Global Markets Supervision (Equities), and will provide primary...required assist with remedial work efforts for any open audit and compliance (testing) findings and open gaps. +… more