Broker Dealer Auditor

  • $130k - $160k
  • New York, NY, États-Unis New York NY US
  • CDI, Plein-temps
  • Park Hudson International
  • 20 août 18 2018-08-20

A major investment firm in Midtown is looking for a skilled, motivated, and experienced Broker-Dealer Auditor to join the team. This position reports to the Head of Internal Audit. The successful candidate will plan, perform and document audits of Office of Supervisory Jurisdiction and Registered Representative offices to assess compliance with firm policies and regulatory rules.

Specific responsibilities include:

  • Planning pre-visit fieldwork

o    Preparing risk assessments and developing internal audit work-plans

o    Reviewing prior audit reports and exception support

  • Researching industry and regulatory rules and developing testing strategies
  • Documenting test plans within an audit application
  • Conducting on-site audits
  • Travel 5-10%
  • Leading interviews and client meetings with management
  • Developing, organizing and maintaining adequate work-papers and related support