Financial Specialist Career Research and Resources
Mitsubishi UFJ Securities (U.S.A.)
• Conduct audits of trading desks, operations, and risk function. • Evaluate existing internal policies and procedures and operations and recommend changes as necessary to be in compliance with regulatory rules and regulations as promulgated by the SEC, FINRA and the firm’s internal policies, procedures/guidelines.
Avg. Salary: $135,000 · Company Rank: Not Available
ABN AMRO
• Set-up new internal Audit function for European international Bank in the U.S. which included New York representative office containing a broker-dealer and finance and trade finance business for energy, commodities and transportation industries and a wholly-owned subsidiary, a full service securities clearing firm in Chicago, Illinois (ABN AMRO Clearing USA LLC) • Involved in monthly US senior management meetings and...
Avg. Salary: $135,000 · Company Rank: Not Available
UniCredit Bank A.G. (formerly Bayerische HypoVereins Bank A.G.)
• Reported directly to the Head of Internal Audit, Americas. • Conducted financial, operational and compliance audits of the Broker-Dealer subsidiary, products included domestic/foreign equities and bonds, audits included Regulatory (Focus) reporting. Evaluated existing internal policies and procedures and operations and recommend changes as necessary to be in compliance with regulatory rules and regulations as promulgated ...
Avg. Salary: $135,000 · Company Rank: Not Available
Jefferson Wells International (now Experis - Manpower Group)
Conducted financial and operational internal audits for Financial Services clients (outsourced and co-sourced). Clients included but not limited to BNY ConvergEx (broker-dealer affiliate of The Bank of New York Mellon), Sumitomo Mitsubishi Banking Corporation (SMBC) etc.. Audits performed included Global Electronic Sales Trading Desk, Wholesale Trading Desk, Japanese Corporate Lending and Compliance. (Interim Position)
Avg. Salary: $135,000 · Company Rank: Not Available
Tullett Prebon LLC
• Reported directly to the Chief Audit Executive. • Conducted financial, operational and compliance audits of trading desks and operations for inter-dealer broker business. • Conducted audits in accordance with the Audit Plan and Audit Framework generally accepted auditing standards, the firm’s internal policies and procedures/guidelines and compliance with regulatory rules and regulations as promulgated by the SEC and FINR...
Avg. Salary: $135,000 · Company Rank: Not Available
ADP Inc.
• Executed procedures and routines to meet the SOX attestation and reporting requirements as it relates to Sections 302 and 404 of the Sarbanes-Oxley Act. • Assisted ADP's Sarbanes-Oxley implementation efforts. Assisted in overseeing the assessment and testing process. Made recommendations for improvement of overall internal controls, operations and accounting procedures. Assisted in preparing project status to Senior Manag...
Avg. Salary: $135,000 · Company Rank: Not Available
CIT Group
• Conducted financial and operational audits of Equipment Finance, Specialty Finance, Commercial Services, Structured Finance, Capital Finance business units, Treasury department (derivative products, foreign exchange, money market and hedged transactions), Accounting, and Funds Transfer and ACH payments etc. • Conducted Sarbanes-Oxley test work of key controls identified by business units and report findings along with rec...
Avg. Salary: $135,000 · Company Rank: Not Available
Datek Online Holding Corp.
• Conducted compliance, financial and operational audits of broker-dealer and back office operations. • Products audited include Equities, Mutual Funds and Options. • Areas of audit included Operations, Stock Loan/Borrow, ReOrg, ACATS, Paying & Receiving, Settlements, Funds Transfer. • Developed audit programs based on exposures to operational, regulatory, and financial risks. • Evaluated existing internal policies and proc...
Avg. Salary: $135,000 · Company Rank: Not Available
The Bank of New York (now The Bank of New York Mellon)
• Conducted financial, operational and compliance audits of the Bank’s Section 20 Broker-Dealer subsidiary, areas audited included fixed income securities (Municipal and Government Securities), Mutual Funds and Regulatory (Focus) reporting. Evaluated existing policies and procedures and operations and recommended changes necessary to be in compliance with rules and regulations as promulgated by FINRA. • Performed financial...
Avg. Salary: $135,000 · Company Rank: Not Available
The Fuji Bank Ltd & The Fuji Bank & Trust Co. (now Mizuho Financial Group)
• Conducted financial, operational and compliance audits of the Branch and Trust Companies areas included Money Market trading, Derivative Products, Foreign Exchange Contracts, Leasing Subsidiaries, Commercial Loans (Syndications, Participations and Asset-Based), Branch Operations, Funds Transfer, Financial Comptrollers, Regulatory Reporting, Letters of Credit and Acceptances, Monthly Compliance Examinations, Anti-Money Lau...
Avg. Salary: $135,000 · Company Rank: Not Available
