Supervisor / Manager level Audit- Broker/Dealer

ZipRecruiter; Hauppauge (NY); Hybrid; USD 115,000 - 140,000; Full time

Job summary

A mid-sized accounting firm in Long Island seeks an Audit Manager or Supervisor with broker-dealer experience. The ideal candidate will lead audit engagements, ensuring compliance with regulations while managing a team. This hybrid role offers competitive compensation and potential remote work.

Qualifications

• Minimum 5 years audit experience, at least 3 years in broker-dealer clients (Manager level).
• CPA or comparable credential required for managers.

Responsibilities

• Plan, execute, and oversee audits of broker-dealer clients.
• Lead audit engagements and communicate findings to clients.

Skills

Analytical Skills

Communication Skills

Leadership

Education

Bachelor’s degree in Accounting, Finance, or related field

Job description

Job DescriptionJob Description

Our client, a mid-sized accounting firm in Suffolk County, Long Island, is looking for either an Audit Manager or Audit Supervisor with at least 3-5 years of broker-dealer experience, preferably in small to large size firm environments.

This position is ideally hybrid, but they will consider remote candidates who are able to travel to clients on Long Island and in the general NYC metro area as needed.

The ideal candidate will possess in-depth knowledge of auditing standards, SEC and FINRA regulations, and broker-dealer industry practices and work on and lead multiple engagements simultaneously.

General requirements include:

• Education: Bachelor’s degree in Accounting, Finance, or a related field
• Credential: For Managers and more experienced roles, a CPA or comparable credential is required
• Experience: Minimum of 5 years of audit experience, with at least 3 years in auditing broker-dealer clients for the Manager level role.
• Technical Skills: Strong understanding of PCAOB standards, SEC and FINRA regulations, and broker-dealer industry practices.
• Analytical Skills: Excellent analytical and problem-solving skills, with the ability to identify and address complex issues.
• Communication Skills: Strong written and verbal communication skills, with the ability to effectively present information to clients and team members.
• Leadership: Proven ability to lead audit teams, manage multiple priorities, and deliver high-quality work under tight deadlines.

Responsibilities:
Plan, execute, and oversee audits of broker-dealer clients in accordance with PCAOB standards and firm methodology.

• Lead audit engagements, including risk assessment, audit planning, fieldwork, and audit reporting.
• Review and test internal controls, processes, and procedures to ensure compliance with SEC and FINRA regulations.
• Develop and maintain strong client relationships, acting as the primary point of contact for audit-related matters.
• Communicate audit findings and recommendations to clients' senior management and audit committees.
• Provide value-added insights to clients on regulatory compliance, risk management, and industry best practices.
• Supervise and mentor junior auditors, providing guidance, training, and performance feedback.
• Stay current with changes in PCAOB, SEC, and FINRA regulations and auditing standards.
• Identify and address complex accounting and audit issues, providing well-reasoned solutions.
• Ensure all audit workpapers and documentation are complete, accurate, and comply with firm and regulatory standards.
• Participate in peer reviews and internal quality assurance programs to maintain high audit quality.
• Prepare and review audit reports, management letters, and other deliverables for accuracy, completeness, and clarity.
• Present audit results to clients and internal stakeholders, highlighting key findings and recommendations.
• Supervise the timely preparation of financial audit work papers
• Prepare and present complex audit position papers to executive management teams
• Assist with all ongoing business development opportunities

Target Base compensation is between $115,000 - $140,000K.

for consideration and a full job description, please send your resume to [e-mail] with AUDIT BROKER in the subject line, or apply thorough the link.