Wedbush securities is a full-service Investment Banking and Financial Services firm. Headquartered in downtown Los Angeles, we have over 90 offices nationwide.
This position reports to the Manager of Internal Audit and Controls Department and performs reconciliation and internal audit engagements. The position interacts with multiple levels of management and colleagues within the company. The primary purpose of this position is to perform internal audit projects/audits typically resulting in the delivery of a written report. A typical audit engagement involves interviewing colleagues and managers, performing audit test work, review and/or analyses of various documents and reports, documentation of test work and preparing audit reports reflecting the results of the work performed. There will be exposure to multiple business units throughout the organization.
Primary Job Responsibilities:
Assist in preparing audit work programs, perform audits, and facilitate remediation of audit findings. The assigned audits may include financial, operational, compliance, IT, and other types of audits as required.
Complete special projects, perform management requests, internal investigations, and other duties as assigned.
Prepare written reports on internal audit reviews, including findings, analyses, conclusions, and recommended actions for management follow up.
Identify and promote the use of best practices within the organization
Maintain a high level of confidentiality and exercise sound judgment
Assist with reconciliation of various clearing, custodial, depository, suspense and bank accounts
Incumbent will also track security position and reconcile those with records of depositories and custodians and if necessary research and resolve any exceptions noted.
Bachelor's degree in accounting, business administration, or related discipline
Up to two years of auditing experience obtained in a public accounting firm and/or in a corporate environment
Possession of or working toward a relevant professional qualification such as CPA, CIA, or CISA while not required is preferred
General knowledge of GAAP and IIA auditing standards
Excellent computer skills including proficiency in the use of the Microsoft Office suite of applications
Knowledge of the capital markets, its operations, products, and services is desirable
Strong written and oral communication skills to facilitate effective report writing and audit file documentation is required
Effective interpersonal and communication skills which are essential for interacting with colleagues and management at all levels of the organization is required
Well-developed problem solving, organizational and analytical skills
Must be able to work as an effective and contributing member of a team or independently as needed
Prior experience working in a financial institution (especially at a broker/dealer) is preferred
Keyword: Internal Audit, internal controls, audit, finra, sec
From: Wedbush Securities
Wedbush Securities - 2 years ago