- Develop audit risk assessment and plan audit cycle and individual audit engagements. Lead and participate in audit execution. Document audit issues and present to Audit Committee and applicable business unit heads. Provide recommendations for improving existing processes.
- Assist in assessing existing internal audit requirements versus existing internal audit capabilities. Provide major input in expanding internal audit resources where appropriate.
- Provide direct assistance to external auditors in statutory financial statement audits, anti-money laundering audits, and SEC custody service and customer protection rule audits.
- Participate in projects as defined by management.
- Bachelor’s degree
- 8 – 10 years’ audit experience either in public accounting or internal audit within an organization
- 2 – 4 years’ experience with either broker dealers in securities or investment advisers
- CPA or CIA certification is preferred
- Strong written and verbal communication skills.
- Ability to interact effectively with different business units and levels of management.
- Excellent problem solving and analytical skills.
- Effectively prioritize time and manage multiple audits as hurdles arise. Strong project management skills
- Ability to function independently.
- Excellent computer skills including Microsoft Excel, Word, Power Point.
- Solution focused and detail oriented.
- Positive attitude and demonstrates initiative and persistence.