Auditor Senior

Sales/Retail/Business Development Career Level:   Experienced (Non-Manager) Staffing Now's expertise is connecting the right people with the right positions - whether for a full-time career opportunity or a temporary assignment. We place talented professionals in office and administrative positions, as well as financial, accounting, banking and legal. Our long-term relationships with employees and clients have been built in an environment of integrity and commitment, with a shared goal of mutual success. Our job seekers and clients are the cornerstones of our business; we make it a top priority to ensure both parties are satisfied. Our objective is to get to know each professional individually and understand your unique talents and career goals. We also take the time to understand the distinct culture and skill requirements of each client company. It's because of this personalized approach and our professional recruiting staff that we help employees and employers find the perfect match time and time again. Auditor Senior The individual will be based in Miami and will be partof The Company's Audit Services Department (ASD),reporting locally to the regional auditor. Theassignment involves working in the Americas Region whichincludes the US, Canada, Bahamas, and various locationsthroughout Latin America and the Caribbean. Positionwill be based out of The company's Miami Office, a FINRA(NASD) registered broker-dealer.Principal Duties and Responsibilities1.Conduct risk-based audits of the Americas Region andother locations2.Identify and assess potential risks to the business3.Review the adequacy of controls established to ensurecompliance with policies, plans,procedures, and business objectives4.Assess the reliability and security of financial andmanagement information and the systemsand operations that produce this information means of safeguarding assets5.Review established procedures and systems and proposeimprovements6.Assist and advise management on the prevention offraud and defalcation, unethicalpractices, code of conduct, insider dealing7.Appraise the use of resources with regard to economy,efficiency and effectiveness8.Audit the following: sophisticated financialproducts, services and operations, equities trading platforms, hedge funds, structuredproducts, credit and lending, regulatorycompliance, KYC due diligence including money laundering controls9.Exercise sound judgment in the application of auditstandards and principles to complexauditing problems10.Aid in the preparation of reports to various levelsof management including the AuditCommittee11.Coordinate activities with the external auditors tofacilitate effective communication,avoid duplication or timing conflicts, and achieveoptimal cost effectiveness and12.Provide support to the International Audit ServicesDepartment in conducting audits inlocations outside of the Americas Region includingEurope, Asia and Middle East.Job Specifications1.CPA or similar professional certification preferred2.Four to six years of experience in auditing withemphasis in testing regulatory &compliance requirements3.Experience in performing financial and operationalaudits using a risk-based auditapproach4.Strong knowledge of accounting, security broker /dealer activities, operations, state &federal banking regulations, and FINRA (NASD) & SEC rules and regulations5.Ability to identify and recommend best practices6.Excellent report writing and strong communicationskills including the ability to interactwith all levels of management and employees7.Fluent Spanish language skills8.Ability to travel extensively