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Position: VP Global Wealth Management- Audit
Job Number: MS03939
Location: NY - New York City
Date Posted: 2017-10-05
Salary Range: Over $150k
Job Summary:

Leading Investment Bank seeking a VP of Global Wealth Management- Audit to join their growing team!! 

Company Information:

Name: Leading Investment Bank

Job Description:

• Manage, analyze and evaluate the Firm's Wealth Management brokerage business focusing on products, investment advisory, branch operations, sales practices, and client suitability to evaluate the risk and control framework supporting the business.  
• Experience in performing on-site retail branch audits in accordance with FINRA rules and regulations.
• Conduct risk assessments for Wealth Management audit entity universe to help drive the risk-based audit plan.
• Executing the annual risk-based audit plan to provide appropriate coverage of retail brokerage activities.   Ensure execution of the audit plan within departmental methodology, policies and standards.
• Executing audits from start to completion including detailed walkthroughs of key processes to identify internal controls, developing and execution of tests of control and substantive testing procedures for key controls, execution of testing, identification and reporting of issues.  Involvement in scope determination, audit planning memos, developing testing plans, review of staff fieldwork, issue identification, issue discussions with clients and report writing.

Requirements / Qualifications:

• Four-six years of audit management, related retail brokerage or regulatory experience within the financial services industry.   Previous audit or compliance experience with a complex or medium size bank or broker dealer that focused on retail broker dealer sales practice and suitability trading activities or related public accounting audit experience.
• A strong technical understanding of the regulatory environment with respect to FINRA, SEC, and Federal Reserve regulations.
• Proficient understanding of the internal audit process including risk assessments, planning, scheduling, reporting, continuous auditing.  Multi-tasking of various projects and deadlines.
• Strong verbal and written communication skills for audit reporting discussions with Senior Audit and Business Management.  Prior experience communicating with regulators a plus. 
• Experience with local, state and federal securities laws 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].
• CPA, CIA or other related licensing a plus.
• Strong analytical skills 
• Ability to multi-task amongst several projects through the use of strong project management skills

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