A large banking client is looking for an Accounting Consultant to join their organization. This person will be leading and managing the 2022 external audit.
Responsibilities:
- Primary responsibility will be to successfully navigate the BD through 2022 external financial audit.
- Candidate will take lead role in managing the audit and will establish road map with timeline for a close by mid- February.
- Candidate will interface with compliance, accounting, and Securities Operations Teams and report directly to BD senior management.
- Appropriate progress metrics to be established with weekly status updates to BD senior management.
- Experienced Series 27 professional with extensive Broker Dealer experience sought by broker-dealer subsidiary of a U.S. bank.
- Previous experience managing an audit
- Experience with Peoplesoft, IBS, Netx360 or similar systems would be helpful
- Broker-dealer / RIA financial filings, and regulatory reporting
- FINRA and SEC rules (15c3-1, net capital requirements for brokers or dealers)
- SIPC-6 and SIPC-7 calculations
- SSOI--Supplemental Statement of Income, as required under FINRA Rule 4524
- Member's responsibilities under all financial responsibility rules promulgated pursuant to the provisions of the Securities Act of 1934 (Exchange Act)
Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.