in the financial industry to lead audit coverage of Front Office and associated support functions including Sales, Trading... of benefits to its employees. Description SMBC is seeking an experienced audit manager with a minimum of 10 years' experience...
and enhance processes Participate in audit and regulatory engagements Work with Risk stripe lead, Technology and Data Officers...
of the Director, execute a robust audit program including leading the timely execution of audit planning, fieldwork... and program trading, equity research, sales, trading mandates, markets conduct and Volcker rule). Knowledge of financial...
capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX... audit process, including but not limited to, issue validation, continuous monitoring, and annual audit planning. Assist...
and Information Science preferred - CFA, CPP certification preferred - Proficiency in sales and trading, banking, broker dealer...Industry/Sector Banking and Capital Markets Specialism Operations Management Level Director...
culture. Associate Director or Director, Equity Derivatives Quant - New York Global Banking and Markets (GBM) is a leading... of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales...
, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... culture. Title: Associate Director, Global Capital Markets Documentation, GBM, New York, NY Global Banking and Markets...
and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions... Regulatory Compliance Advisory - Americas Director Contract type Permanent Contract Job summary Summary As a Director...
Summary As a Director in the Global Markets Regulatory Compliance (“GMRC”) Advisory team at CACIB, you will play.... · Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... Controls, Compliance & AML 2nd line, GBM Onboarding, Global AML Operations, Internal Audit, and others Serving as a key...
, and effective challenge to RBC Capital Markets, LLC’s US equity and equity derivatives sales & trading personnel and supporting... all US activities of RBC’s Global Equities business units. Work closely with personnel within the Global Equities business units (Sales...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... under remit through satisfactory internal audit results, external exams, and proactive identification of self-identified issues...
development, set-up implementation, expense management, financial planning, trading and sales ad hoc project work Drive consensus... and support a trading and sales business Self-motivated, confident, flexible and resilient Very good interpersonal skills...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... applicable to institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial...