Auditor Senior
Staffing Now (Miami, Florida)

This job posting has expired.

You may wish to try a search for Auditor Senior

Or visit the FlipDog home page
 

The individual will be based in Miami and will be part of The Company's Audit Services Department (ASD), reporting locally to the regional auditor. The assignment involves working in the Americas Region which includes the US, Canada, Bahamas, and various locations throughout Latin America and the Caribbean. Position will be based out of The company's Miami Office, a FINRA (NASD) registered broker-dealer. Principal Duties and Responsibilities 1.Conduct risk-based audits of the Americas Region and other locations 2.Identify and assess potential risks to the business 3.Review the adequacy of controls established to ensure compliance with policies, plans, procedures, and business objectives 4.Assess the reliability and security of financial and management information and the systems and operations that produce this information means of safeguarding assets 5.Review established procedures and systems and propose improvements 6.Assist and advise management on the prevention of fraud and defalcation, unethical practices, code of conduct, insider dealing 7.Appraise the use of resources with regard to economy, efficiency and effectiveness 8.Audit the following: sophisticated financial products, services and operations, equities trading platforms, hedge funds, structured products, credit and lending, regulatory compliance, KYC due diligence including money laundering controls 9.Exercise sound judgment in the application of audit standards and principles to complex auditing problems 10.Aid in the preparation of reports to various levels of management including the Audit Committee 11.Coordinate activities with the external auditors to facilitate effective communication, avoid duplication or timing conflicts, and achieve optimal cost effectiveness and 12.Provide support to the International Audit Services Department in conducting audits in locations outside of the Americas Region including Europe, Asia and Middle East. Job Specifications 1.CPA or similar professional certification preferred 2.Four to six years of experience in auditing with emphasis in testing regulatory & compliance requirements 3.Experience in performing financial and operational audits using a risk-based audit approach 4.Strong knowledge of accounting, security broker / dealer activities, operations, state & federal banking regulations, and FINRA (NASD) & SEC rules and regulations 5.Ability to identify and recommend best practices 6.Excellent report writing and strong communication skills including the ability to interact with all levels of management and employees 7.Fluent Spanish language skills 8.Ability to travel extensively