- 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