Vice President

New York, New York • $100,000-$160,000

About the Company:

Our client is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, and actively managed alternative investment products. The Vice President will be part of the Internal Audit team who will help conduct periodic financial, operational, and regulatory audits.



  • Perform risk-based audit work, including detailed walkthrough meetings, documentation review, and substantive testing
  • Perform control reviews and control testing for key business processes
  • Assess control strengths and weaknesses and determine compliance with policies, regulatory guidelines, and industry best practices
  • Document findings to confirm accuracy of observations, make recommendations to improve controls and agree upon action plans
  • Follow up on agreed action plans to ensure that these are completed on a timely basis
  • Provision of management information on the performance of the audit plan
  • Escalation of key material findings to management
  • Work with management to strengthen controls across the business



  • Bachelor’s degree in accounting required
  • 5 years of experience auditing broker-dealers
  • Knowledge of SEC rules and regulations


Salary Range: 





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