Role details

VP Internal Controls, Broker Dealer

Jersey City   •  Permanent

Bullet points

  • Growth Opportunity with Global Investment Bank
  • Broker Dealer Experience Required

About Our Client

My client is a leading international investment bank located in Jersey City, NJ.

Job Description

Responsibilities for the VP Internal Controls, Broker Dealer role include:

  • 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
  • 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

The Successful Applicant

Qualifications for the VP Internal Controls, Broker Dealer role include:

  • 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, etc)
  • High knowledge of accounting schemes and treatment of financial products, and their impacts on PNL, balance sheet, and off balance sheet.
  • Strong project management skills.
  • Advanced written and verbal communication skills and presentation skills
  • Excellent leadership, teamwork, and client service skills.

What's on Offer

My client is offering a competitive based salary and bonus compensation package for a VP Internal Controls, Broker Dealer role.

Apply for this job

Click the Apply or LinkedIn button below or contact Lauren Bellone quoting job reference 1197325
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