Audit Manager [Multiple Positions Available]

Duties: Drive audit activities including risk assessments, planning, testing, documentation, review, control evaluation, issue identification, audit reporting, and verification of issue closure.

Evaluate the effectiveness of the control environment.

Present issues, root cause analysis, and associated risks to management.

Monitor audit execution to ensure timely completion and adherence to budget.

Ensure audit procedures comply with department and professional standards.

Perform continuous monitoring through stakeholder engagement and review of key performance indicators.

Establish and maintain effective relationships with stakeholders, business management, and control groups while preserving independence.

Stay current with accounting, regulatory, and industry developments.

Oversee audit resources, providing feedback and coaching.

QUALIFICATIONS:

Minimum education and experience required: Bachelor's degree in Accounting, Finance, Business Administration or related field of study plus seven (7) years of experience in the job offered or as Audit Manager, Auditor, or related occupation.

Skills Required: This position requires four (4) years of experience with the following: Conducting internal audits in the capital markets and investment banking industry.

This position requires three (3) years of experience with the following: Evaluating financial risks and controls in the capital markets and investment banking industry.

This position requires any amount of experience in the following: Leading end-to-end internal audit processes including planning, execution, reporting, and directing completion within time and budget constraints; Evaluating internal controls and identifying control weaknesses considering business and technology risks; Presenting internal audit results and issues to management; Auditing 10K and 10Q filings in the capital markets industry; Auditing compliance with Regulation W through evaluation of affiliate transactions and internal controls; Auditing accounting for derivative products; Auditing broker-dealer net capital computations under SEA Rule 15c3-1 through evaluation of capital adequacy and regulatory compliance; Auditing broker-dealer reserve requirements under SEA Rule 15c3-3 through evaluation of customer protection controls and reserve computations; Performing sampling, trending, and population testing using data analytics in Excel-based and software-based tools; Performing audit continuous monitoring of functional areas to assess changes to audit coverage.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location.

For those in eligible roles, discretionary incentive compensation which may be awarded in recognition of individual achievements and contributions.

We also offer a range of benefits and programs to meet employee needs, based on eligibility.

These benefits include comprehensive health care coverage, on-site health and wellness center...