Overview

A leading financial services company and online brokerage firm seeks an Audit Manager.

Job Summary: 

The Audit Manager will lead audits to ensure that the firm’s operations are conducted according to the highest professional and regulatory standards.

Functional Responsibilities:

Manage/Execution of Audit Process

  • Perform risk evaluation of audit area to identify key controls for review.
  • Draft the audit program and execute the audit steps.
  • Draft questionnaires, spreadsheets, etc. to assist in analyzing business processes.
  • Draft audit reports to summarize audit findings.
  • Prepare work papers, schedules, and summaries documenting audit evidence, conclusions, and findings reached.

Leadership

  • Provide audit project supervision role for staff auditors
  • Escalate risk issues and follow-up on solutions
  • Identify potential department improvement projects
  • Take responsibility for staff auditors and own work product
  • Identify and shares relevant business and audit topics with the audit group

Responsibilities

  • Manage/Execution of Audit Process
  • With minimal supervision, perform risk evaluation of audit area to identify key controls for review.
  • With minimal supervision, draft the audit program and execute the audit steps.
  • Draft questionnaires, spreadsheets, etc. to assist in analyzing business processes.
  • Draft audit reports to summarize audit findings.
  • Prepare work papers, schedules, and summaries documenting audit evidence, conclusions, and findings reached.

Building Relationships

  • Partner with audit clients to identify constructive and value-added solutions to address risks identified.
  • Partner with audit clients to assist in research and other information dissemination processes.
  • Identify opportunities for and participate in approved special projects, investigations or other significant business issues.

REQUIREMENTS

  • Minimum 5 years public accounting or other sophisticated internal audit experience
  • CPA and/or CIA required before hire or within first year of employment
  • Prior Brokerage Dealer Financial Services experience STRONGLY required

EDUCATION, CERTIFICATION, TRAINING

  • Bachelor’s degree in Accounting, Finance, Economics, or related field is required

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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