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White Plains, New York - USD Full Time Posted: Wednesday, 12 June 2019
Responsibilities: This position will require the individual to plan and perform internal audits of Nikko Securities America processes and practices, with enhanced regulatory overview to ensure compliance with applicable regulations and operational efficiencies.
Examine and evaluate internal controls in key risk areas of broker dealer activities/practices to ensure compliance with internal policies and applicable rules, laws, and regulations; Develop audit programs and perform audit fieldwork, including system documentation, evaluations, interviews and financial analysis;
Propose or evaluate appropriate corrective measure designed to strengthen internal controls, operational policies and procedures, and other weaknesses identified during audits;
Prepare clear and concise audit work papers and audit reports summarizing scope, methodology, and significant conclusions of audit procedures performed within prescribed time frames
Conduct audit planning and closing meetings with Internal Audit and relevant Department Management
Project monitoring and reporting to Internal Audit Management
Qualifications Oversee regular updates to the Compliance Committee, Risk Management Committee, and Board/Executive Committee Manage regulatory related activities such as examinations, periodic meetings and ad-hoc updates with global scope. Support regulatory compliance through tracking of open issues and action items. Coordinate all FINRA regulatory communications including responses to examination letters and remediation plans Manage the Internal Audit (IA) relationship and audit clients including managing deliverables for current internal and external audits as well as IA validation of regulatory and IA corrective action plans Oversee tracking of regulatory matters, external auditor and IA findings and milestones including collection, review, validation and retention of evidential matter Oversee the regulatory gap analysesPartner with relevant groups such as Compliance, Internal Audit and Risk GovernanceDevelop staff
10+ years of overall broker dealer related work experience in the securities industry, regulatory agency or top tier consulting with minimum of 5 years of experience in internal audit environmentProgressive experience in Internal Audit, regulatory examination, regulatory compliance or consulting related to risk management, finance, compliance or legalExperience in interaction with regulatory bodies such as FINRA, SECStrong verbal and writing communication skillsProactive self-starter and strong project management mindset

White Plains, New York, United States of America
Sumitomo Mitsui Banking Corporation
Sumitomo Mitsui Banking Corporation
6/12/2019 11:54:03 AM

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