SEC Audit Manager - Regulator

Regal Executive Search; Chicago (IL); On-site; USD 100,000 - 160,000; Full time

Job summary

A leading firm is seeking an SEC Audit Manager to oversee audits of public companies and registered brokers. The role requires expertise in compliance with governing standards and CPA licensing, as well as several years of managerial audit experience. Opportunities for professional development and contributions to training and inspection projects are also available.

Qualifications

• CPA license required.
• 6-15 years of audit experience at managerial level.
• Strong knowledge of PCAOB standards, GAAP, and IFRS.

Responsibilities

• Conduct audits of registered accounting firms to ensure compliance.
• Draft inspection reports and evaluate firms' quality control structures.
• Interact with firm personnel and communicate findings.

Skills

Communication

Audit Compliance

Critical Thinking

Education

Bachelor's degree in Accounting

MBA or Master’s

Job description

SEC Audit Manager / Regulator


Overview
Overseeing the audits of public companies and SEC-registered brokers and dealers to protect investors and promote public interest through accurate, independent audit reports.


Job Description
As an SEC Audit Manager / Regulator, you will utilize your auditing skills and experience to participate in inspections of registered public accounting firms, including:

• Inspecting audit workpapers to evaluate compliance with the Sarbanes-Oxley Act, SEC rules, PCAOB standards, and professional standards;
• Assessing firms' quality control structures and their impact on audit quality;
• Interviewing firm personnel to understand their quality control and audit approaches, and identify deficiencies;
• Gathering information to support inspection findings;
• Researching technical issues and consulting with colleagues;
• Communicating findings to firm personnel and in inspection reports;
• Drafting inspection reports and comment forms.

Additional Opportunities as an Inspections Specialist
Enhance your technical skills, participate in inspection projects, develop or facilitate training courses, and be involved in recruiting processes.

Qualifications

• CPA license required;
• 6-15 years of progressive audit experience, at the Senior Manager or Manager level, with U.S. traded companies;
• Bachelor's degree in Accounting; MBA or Master’s is a plus;
• Strong knowledge of PCAOB standards, GAAP, and IFRS;
• Excellent written and oral communication skills;
• Ability to work independently and in teams;
• Willingness to travel 20-30%, including internationally;
• Fluency in a foreign language is a plus.

Our Values

We value integrity, excellence, effectiveness, collaboration, and accountability in achieving our mission and vision.

Equal Employment Opportunity

We provide equal opportunity and a harassment-free environment, considering all qualified applicants, including those with criminal histories, as per applicable law.