| Title: VP/Senior Manager-Internal Audit-Brokerage OPs
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| Location: New York, NY
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| Job Type: Direct Hire
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| Compensation: per Year
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| Reference Code: 934790-AQG
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Description: A world class financial services company seeks a VP or Senior Manager of their Brokerage Operations in Jersey City, New Jersey. The position offers excellent opportunities for advancement and great benefits!
Responsibilities include the following:
- Involvement in brokerage operations audits 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 brokerage and banking operations
- 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
- Communicate regularly with senior management of the business segment to discuss the audit plan status, results of the audit work, and quarterly reporting
- Assist in the preparation for quarterly presentation including current quarter audit results, control environment assessment, status of prior open issues, etc.
- Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards
- Have the ability to travel when required (10-15%)
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Requirements: The skills, experience, and knowledge required to be considered for this position include:
- Eight to fifteen years of audit management experience specializing in brokerage operations
- Previous audit experience with a complex or medium size brokerage firm that focused on brokerage operations including Margin, ACATS, Clearance and Settlement, Trade Support, Balance and Control, Corporate Actions, Possession or Control, and Pricing and Payment Services
- A strong technical understanding of the regulatory environment with respect to the FINRA and SEC
- Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting
- Prior experience communicating with regulators is a plus
- A B.S. degree in business including Economics, Finance, Accounting, etc.
- M.B.A. or equivalent postgraduate degree is a big plus
- CPA and Series 7 is a plus
- Maintain a significant interest in pursuing a career within the financial services industry
- A significant technical understanding of the organization and related business processes function
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