Broker Dealer Auditor

New York, NY

Post Date: 04/04/2018 Job ID: 10663068 Industry: FIN Consulting
The Internal Audit Department is a small team of qualified professionals who conduct periodic audits and administer a Sarbanes-Oxley testing program (which includes the continuous assessment of the Firm's risks and testing of relevant mitigating controls).
We are looking for a skilled, motivated, and experienced Auditor to join our team. This position reports to the Head of Internal Audit. The successful candidate will plan, perform and document audits to assess compliance with firm policies and regulatory rules of a Broker-Dealer.
Specific responsibilities include:
Sarbanes-Oxley Test Program Administration
o Calculating Materiality and identifying significant processes areas for control testing
o Preparing Process Documentation and Creating Risk-Control Matrices
o Performing Sarbanes-Oxley testing
o Evaluation of identified deficiencies
Planning pre-visit fieldwork
o Preparing risk assessments and developing internal audit work-plans
o Researching industry and regulatory rules and developing testing strategies
o Documenting test plans within the ACL Application
Conducting on-site audits
o Travel less than 8%
o Leading interviews and client meetings with management
o Developing, organizing and maintaining adequate work-papers and related support
o Drafting internal audit reports
Job Requirements
The skills, experience, and knowledge required to be considered for this position include:
3 years Clearing Broker-Dealer Industry Audit experience
3 years Administering a Sarbanes-Oxley Testing Program
Excellent verbal and written Communication Skills


Other Beneficial Traits
BS or BA in Accounting, Finance, Business or related field
Strong analytical, interpersonal, organizational and presentation skills
Organized, self-motivated, detail and deadline oriented
Proven ability to work well on teams, showing initiative, a positive attitude and a willingness to work hard

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