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Senior Manager- Audit- Wealth Management/Brokerage

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Job #: 10383
Status: Active
Title: Senior Manager- Audit- Wealth Management/Brokerage
Job Location: NY-NYC
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV)
Job Categories: Audit
Industries: None
Base Compensation:
Low: $110,000       High: $130,000
Total Compensation:
Low: $130,000       High: $155,000
Overnight Travel: Limited Travel
Is Employer Willing to Relocate?: No
Employment Type: Full Time / Direct Hire
Why is This a Great Opportunity?
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.
Job Description:
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.
Mandatory Minimum Qualifications - Must Have: -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.
Preferred Qualifications: -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].
Education: None
Certifications: None
Licenses: None
Total Years of Experience: 9-10+
Years of Experience in Present Position: 1-2+
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