Brian Cheng
VP Internal Audit at Nomura
- Role
- VP Internal Audit at Nomura
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Brian Cheng
Over 10 years of progressive experience in audit and capital markets with in-depth knowledge of the following functions: Sales and Trading, Supervision, Compliance, Risk Management, AML, Trade Support, Settlements, Finance, Research and Valuation. Demonstrated ability to provide coverage over a diverse range of products such as Canada NHA-MBS, US whole loans & MBS, Government Rates, Swaps, Future & Options, Corporate Bonds, Equities, Debt Capital Markets, US Asset Backed Securities, Reinsurnace and US Municipal Securities. Strong understanding of the following product rules and regulations: IIROC Dealer Member Rules, Universal Market Integrity Rules, OSFI Guidelines, Regulation W, Dodd-Frank, Sarbane-Oxley Act, SEC 1933 Act, FINRA, MSRB Rules and Guidelines, CMHC Securities Program, CMB Program and Bank of Canada Terms of Participation.
Experience
VP Internal Audit
May 2018 — Present · New York, NY, US
Skills
- Sas70
- Financial Modeling
- Enterprise Risk Management
- Governance
- External Audit
- Internal Audit
- Financial Risk
- Financial Reporting
- Banking
- Risk Management
- Auditing
- Financial Accounting
- Operational Risk
- IT Audit
- Internal Controls
- Sarbanes-Oxley Act
- Accounting
- Financial Institutions
- Financial Analysis
- Assurance
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