- 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 (MA)
- …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
- BMO Financial Group (New York, NY)
- …algorithmic trading, and/or direct market access at a regulator/self-regulatory organization and/or broker - dealer is strongly desired. + Strong knowledge of US ... The US Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the Firm's Cash Equities Electronic Trading businesses,… more
- Ankura (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
- Charles Schwab (Westlake, TX)
- …and risk management training at a financial services firm; experience in a broker - dealer , registered investment adviser, and/or banking institution a plus + ... you are good at:** We are looking for a Director to lead our policy implementation and risk and...Risk Management leaders, EORM Policy and Governance Team, Internal Audit , and HR learning & development partners + Leading… 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)
- …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
- 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
- Charles Schwab (Lone Tree, CO)
- …ability to develop talent **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, varied ... that they are assigned to prepare and review, and this position reports to a Director , Audits and SOX Compliance. This Senior Team Manager has up to three direct… more