Role details

VP- Internal Controls, Broker-Dealer

Jersey City   •  Permanent

Bullet points

  • Excellent Opportunity with Multinational Bank
  • Prior Broker-Dealer Experience Required

About Our Client

Major Multinational Bank.

Job Description

A successful candidate will use their skills and experience in accounting, regulatory and auditing skills to participate in rigorous reviews and assessments of The Firm's Americas accounting control framework.

The mission includes:

  • Account certification process for entities within Americas perimeter
  • Performing quality analysis related to banking, broker dealer, FCM accounting and regulatory processes
  • Regulatory oversight of Branch, Broker Dealer and subsidiaries
  • Review of Operational Controls surrounding SEC Rule 17a-5 to ensure they are designed and executed effectively
  • Train and guide operational teams on controls
  • Monitoring and steering of the closing process
  • Assessing the Accounting, Finance and Operations internal control environment (to the extent that it generates accounting)
  • Designing audit plans on high risk processes and areas and help with their implementation and follow up
  • Communicating with multiple teams within the bank on their activities and risks
  • Being a subject matter expert in terms of internal control, accounting and regulatory risks

The Successful Applicant


  • Approximately 10-12 years of experience working as an external auditor, or financial controller in the financial sector.
  • Good knowledge of audit techniques (risk approach, substantive testing, high view analysis…)
  • High knowledge of accounting schemes and treatment of financial products, and their impacts on PNL, balance sheet and off balance sheet. Be able to differentiate French, U.S. and IFRS treatments on those products is a plus.
  • Significant experience in having applied relevant technical knowledge in at least one of the following engagements: (a) financial statement audits; (b) internal or operational audits; (c) SOX engagements;
  • Strong project management skills
  • Advanced written and verbal communication skills and presentation skills
  • Excellent leadership, teamwork and client service skills
  • Demonstrated integrity within a professional environment
  • Ability to supervise


  • Bachelors degree in accounting, finance, computer science, information systems, engineering, or a related discipline


  • Advanced degree a plus
  • CPA

What's on Offer

Base salary commensurate with experience, performance bonus, and benefits.

Apply for this job

Click the Apply or LinkedIn button below or contact James Sears quoting job reference 1196946
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