Associate Director - Capital Markets Audit

Scope and Responsibility
The Associate Director will report to the Director of Capital Markets Audit. The successful candidate will aid in the management of capitla markets auditing efforts of the firm on both the buy and sell sides of the organization. Responsibilities include assessing risk, managing audit staff, assisting with development of audit plans and maintaining a superior relationship with senior managers in all areas. He or she will be expected to have a good understanding of credit, structuring and transactional issues as they relate to the specific areas within the respective product groups, as well as a general knowledge of investment banking and broker/dealer operations. Additionally, he or she must be able to identify issues, make creative recommendations and provide expert advice in these areas to other senior officers. The Associate Director will coordinate, when applicable, technology based auditing techniques in conjunction with the IT Audit group. This position will require some travel to other offices within the United States.

Background Required
The ideal candidate for this position will be someone with a mix of audit and operations experience in a large investment bank or broker/dealer environment. A minimum of four years total experience, at least three of which should be in audit, is also required. Some public accounting experience would be helpful, but is not a necessity. The background may include a combination of public accounting and securities industry experience, or straight brokerage experience with a demonstrated series of accomplishments in audit or compliance. An undergraduate degree in accounting or a related discipline is required, and an advanced degree or CPA/CIA designation is desirable. The successful candidate will have a good understanding of investment banking and broker/dealer control issues (managing avoidance of conflicts, Chinese Walls, gray and restricted lists, personal trading, etc.) or, at a minimum, possess a strong desire to learn these aspects of the business. Any applicable Series licenses would also be a plus.

Apply online for consideration.