Position Summary

Our client, a mid-size public accounting firm, is seeking a highly skilled Senior Auditor with specialized expertise with broker-dealer clients to join their growing broker-dealer practice. The ideal candidate will possess in-depth knowledge of auditing standards, SEC and FINRA regulations, and broker-dealer industry practices. This role is critical in ensuring compliance, accuracy, and integrity in financial reporting for our broker-dealer clients.

Key Responsibilities

• Plan, execute, and oversee audits of broker-dealer clients in accordance with PCAOB standards and firm methodology.
• Lead audit engagements, including risk assessment, audit planning, fieldwork, and audit reporting.
• Review and test internal controls, processes, and procedures to ensure compliance with SEC and FINRA regulations.
• Develop and maintain strong client relationships, acting as the primary point of contact for audit-related matters.
• Communicate audit findings and recommendations to clients' senior management and audit committees.
• Provide value-added insights to clients on regulatory compliance, risk management, and industry best practices.
• Supervise and mentor junior auditors, providing guidance, training, and performance feedback.
• Stay current with changes in PCAOB, SEC, and FINRA regulations and auditing standards.
• Identify and address complex accounting and audit issues, providing well-reasoned solutions.
• Ensure all audit workpapers and documentation are complete, accurate, and comply with firm and regulatory standards.
• Participate in peer reviews and internal quality assurance programs to maintain high audit quality.
• Prepare and review audit reports, management letters, and other deliverables for accuracy, completeness, and clarity.
• Present audit results to clients and internal stakeholders, highlighting key findings and recommendations.

Qualifications

• Education: Bachelor’s degree in Accounting, Finance, or a related field
• Experience: Minimum of 3 years of audit experience, with at least 2 years in auditing broker-dealer clients.
• Technical Skills: Strong understanding of PCAOB standards, SEC and FINRA regulations, and broker-dealer industry practices.
• Analytical Skills: Excellent analytical and problem-solving skills, with the ability to identify and address complex issues.
• Communication Skills: Strong written and verbal communication skills, with the ability to effectively present information to clients and team members.
• Leadership: Proven ability to lead audit teams, manage multiple priorities, and deliver high-quality work under tight deadlines.

Compensation is between $80,000 - $110,000K

CBIZ Talent & Compensation Solutions is an Equal Opportunity Employer.
CBIZ Talent & Compensation Solutions does not discriminate on the basis of race, ancestry, national origin, color, religion, sex, gender identity, age, marital status, sexual orientation, disability, veteran status, or any other protected classification under the law.