| Location: |
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV) |
| Salary Range: |
110,000 - 130,000 |
| Total Compensation: |
130,000 - 155,000 |
| Job Description: |
Manage, analyze and evaluate the retail brokerage business as well as its products and operations to achieve execution of the Audit Plan. The Senior Manager responsibilities include the following key processes /duties: -Involvement in managing retail brokerage audits with experience in areas such as brokerage operations, product, investment advisory, consumer banking, and mortgage-related products including; scope determination, audit planning memos, issue development and report writing. -Prepare and execute annual and long-term risk-based audit plans to provide appropriate coverage of retail brokerage activities. -Ensure execution of the audit plan within departmental methodology, policies and standards. -Provide management with an independent and objective evaluation of the control environment and evaluate management’s control consciousness. -Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards. |
| Education and Certifications/Licenses: |
None, None, None |
| Mandatory Minimum Qualifications: |
-Eight-ten years of audit management or related retail brokerage or related regulatory experience within the financial industry. -Previous audit experience with a complex or medium size bank or broker dealer that focused on retail brokerage products and operations. -A strong technical understanding of the regulatory environment with respect to FINRA, SEC, NFA rules or other regulators such as the OCC, OTS, Federal Reserve. -Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting. |
| Preferred Qualifications: |
-CPA a plus -Prior experience communicating with regulators a plus -Experience with local, state and federal securities law a plus -A B.S. degree in business including Economics, Finance, Accounting, etc. [note: an M.B.A. or equivalent postgraduate degree is highly encouraged to demonstrate the candidate’s discipline, commitment and focus]. |
| Benefits: |
|
| Overnight Travel: |
Limited Travel |
| Relocation Assistance: |
No |
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