Auditor

Salary & Bonus will be commensurate with experience

A major Broker Dealer is hiring an experienced auditor to perform independent assessment of its broker dealer entities. Ideal candidate should have prior experience with auditing in the financial services industry.

Responsibilities

• Conduct audits of firm’s programs including customer onboarding, customer due diligence, surveillance, sanction, training, etc.

• Plan and execute audit test steps

• Prepare audit report that document identified control deficiencies

• Communicate audit findings to the management and obtain remedial action plans

• Track remedial action plans to completion

• Keep abreast with various securities, commodities, banking regulations regarding AML/Financial Crimes

• Assist in ad-hoc projects or other audits of group entities

Requirements

• 3-5 years of experience (either at a consulting firm or through an internal audit program at a financial institution)

• Ability to identify gaps in controls at the macro level

• CPA certification is a plus

• Experience planning audit engagements (using a risk-based approach), including coordinating efforts with independent third parties and audits of other subject matter teams

• Excellent communication skills, including the ability to communicate opinions and identified issues in a clear and concise manner

• Capable of performing data analytical tasks

Company Benefits & Perks

• Competitive salary, annual performance-based bonus and stock grant

• Retirement plan 401(k) with a competitive company match

• Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.

• Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)

• Paid time off and a generous parental leave policy

• Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snacks

• Corporate events, including team outings, dinners, volunteer activities and company sports teams

• Education reimbursement and learning opportunities

• Modern offices with multi-monitor setups

Contact:

Stan Hamlet Associates Inc

(o) 212-685-4884

(c) 914-953-9028

sh@stanhamlet.com