Accounting Jobs, Audit Jobs, Tax Jobs
Search Jobs Job Alerts Find Recruiters Post Your Resume Job Success Stories
accounting job search, audit job search, tax job search

Preview Accounting, Audit & Tax Jobs

Local and Nationwide Job Opportunities
for your accounting job search, audit job search or tax job search

Job Details

Senior Manager- Audit- Wealth Management/Brokerage

| More


 
JOB DESCRIPTION
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.
 
QUALIFICATIONS
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+
 
Register Now to Apply for this Job!
 
First Name:
Last Name:
E-mail Address:

 

This is a REAL job we're looking to fill RIGHT NOW!  If you feel you're qualified, please complete our free registration and apply online today!

 

Remember, the recruiters in our network often have additional jobs they are working to fill that are not posted in our databse. When you register you can introduce yourself to our recruiters and make yourself available for these other, non publicized, positions!

 

SUBMIT YOUR FREE PROFILE NOW -->

 

 

 Want to See MORE Jobs?

 

Accounting Jobs

 

Terms & Conditions and Privacy Statement