Bill Finan Email & Phone Number

Bill Finan is a Director at SG Americas Securities, LLC.

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  Director

  Sg Americas Securities, Llc

  Aug 1993 - Present - Greater New York City Area

  Internal Control Manager: Transversal function aimed at helping the OPER teams ensure compliance with the maintenance of an efficient and complete control environment based on the defined norms and /or best practices. Partnering with Front Office on risk/regulatory topics. Focus on OPER’s alignment with risk mitigation and control. Plan & perform internal control missions in order to verify that procedures are applied and performed ensuring that residual risk levels are under control. Follow up on the remediation of BO Incidents to help minimize the risk of re-occurrence of financial/regulatory risk to the firm. Ensure the full implementation of Action Plans resulting from operational events and internal/external audits.