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DESCRIPTION:
QUALIFICATIONS:
Minimum education and experience required: 3- or 4-year Bachelor’s degree in Business Administration, Commerce, Accounting, Finance, or related field of study plus 7 years of experience in the job offered or as Auditor, Audit Consultant/Specialist/Executive, or related occupation.
Skills Required: Requires experience in the following: Conducting internal and external audits in securities, derivatives, and client tax operations; Evaluating and determining the adequacy of controls by considering business and technology risks; Assessing the probability and impact of internal control weaknesses; Complying with Securities Exchange Act rules, including 15c3-1 and 15c3-3; Complying with Internal Revenue Code rules on withholding and reporting; Complying with 12 CFR Part 9; Complying with FCA CASS 6 and CASS 7; Data analytics using Alteryx; Data analytics using Excel; Data analytics using QlikView; Developing methodology for the planning, fieldwork, sampling, documentation, and reporting of audit activities; broker-dealer financial products and services; and bank custody financial products and services.
Full-Time. Salary: $164,800 - $200,000 per year.
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