Business Audit Specialists focus on planning and performing audits of business and support units across all areas of the firm.
Business Audit Specialists focus on planning and performing audits of business and support units across all areas of the firm. Auditors perform a risk assessment to establish the scope and audit plan for assigned audits, evaluate the internal controls and the efficiency of key business processes, make recommendations to improve controls and reduce risk to the firm, and monitor the implementation of these recommendations. Audit results are presented to senior management and distributed in a written report. Auditors may also be assigned to work on projects such as process flow redesign, reviews of new products and offices, and incident investigations. Successful candidates are highly motivated and possess strong analytical/intellectual abilities and verbal and written communication/influencing skills. They have the ability to work in a team environment; handle multiple assignments and work for several managers concurrently. While not mandatory, experience in public accounting or internal audit in the financial services industry is a plus. Principal Responsibilities: • Planning and performing audits, within assigned budgets and deadlines, which evaluate internal controls and the efficiency of various processes within the business and support areas. • Establishing the scope and audit plan for assigned audits. • Analyzing business processes focusing on evaluation and testing of internal controls. • Documenting the analysis in organized work papers. • Drafting the results of the audit work in a written report.
1. Securities Business Auditor Job Description: Experience/Skills: • Strong knowledge of financial instruments, financial markets and/or derivative products. • Strong knowledge or relevant work experience in a broker-dealer business area or control function (e.g., Controllers, Operations, Compliance). • Audit experience, preferably in public accounting or internal audit in the financial services industry. • Demonstrated ability to work in a team environment; handle multiple assignments and work for several managers concurrently. • Highly motivated and possess strong intellectual abilities.
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