| Job Details
Job #: 10383 - Senior Manager- Audit- Wealth Management/Brokerage
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10383
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| Active |
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Senior Manager- Audit- Wealth Management/Brokerage
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Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV)
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| Audit (ADT) |
| Banking; Financial Services; Investments |
| Low: $110,000 |
High: $130,000 |
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| Low: $130,000 |
High: $155,000 |
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| Limited Travel |
| No |
| Full Time / Direct Hire |
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| An oppurtunity to join a leading investment bank's wealth management division at a time of intense growth. The incumbent will ensure that audit and regulatory requirements are being met in accordance with relevant standards. |
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| Manage, analyze and evaluate the retail brokerage business as well as its products and operations to achieve execution of the Audit Plan. The Senior Manager responsibilities include the following key processes /duties: -Involvement in managing retail brokerage audits with experience in areas such as brokerage operations, product, investment advisory, consumer banking, and mortgage-related products including; scope determination, audit planning memos, issue development and report writing. -Prepare and execute annual and long-term risk-based audit plans to provide appropriate coverage of retail brokerage activities. -Ensure execution of the audit plan within departmental methodology, policies and standards. -Provide management with an independent and objective evaluation of the control environment and evaluate management’s control consciousness. -Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards. |
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| -Eight-ten years of audit management or related retail brokerage or related regulatory experience within the financial industry. -Previous audit experience with a complex or medium size bank or broker dealer that focused on retail brokerage products and operations. -A strong technical understanding of the regulatory environment with respect to FINRA, SEC, NFA rules or other regulators such as the OCC, OTS, Federal Reserve. -Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting. |
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| -CPA a plus -Prior experience communicating with regulators a plus -Experience with local, state and federal securities law a plus -A B.S. degree in business including Economics, Finance, Accounting, etc. [note: an M.B.A. or equivalent postgraduate degree is highly encouraged to demonstrate the candidate’s discipline, commitment and focus]. |
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| 9-10+ |
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| 1-2+ |
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