Senior Brokerage Auditor

Take your financial services career to the next level in a challenging position that hones your auditing skills and lets you learn from some of the brightest professionals in your field. Join Vanguard, an industry-leading company known for its strong ethical practices and client focus, as a Senior Auditor, where you'll lead audits and ensure their timely and accurate completion. The environment is collaborative and team-oriented, yet individual achievement is recognized and rewarded. We invest in your professional development with ongoing education and training at our award-winning on-site Vanguard University. Set your goals high, and explore this position with Vanguard.

As a Senior Auditor you will:
- Assist in developing audit objectives.
- Develop audit programs to achieve audit objectives.
- Conduct client interviews to fully understanding the audited area and to plan the audit.
- Perform and/or oversee audits and ongoing risk assessments of the broker-dealer and clearing firm areas.
- Draft audit reports with value-added recommendations for management.
- Anticipate problems and provide sound solutions.
- Assist less experienced auditors, ensuring that work is completed accurately and on time.
- Help develop staff by identifying and communicating areas for improvement and providing action steps to achieve goals.  

Position Qualifications:
- Must have at least three years of brokerage or clearing firm industry experience.
- Bachelor's degree in Business or related field, or an equivalent combination of training and experience.
- Progress toward obtaining a professional certification or advanced degree (CPA, CIA, MBA).
- Three to five years of audit experience.
- Strong time and project-management skills.
- Excellent interpersonal, client-relationship and communication skills.
- Demonstrated problem-solving skills.
- Proficiency with Word and Excel.


Vanguard, a leading financial company, offers a competitive Total Rewards package of cash compensation, benefits, work-life programs, and conveniences. Employment is contingent on a successful drug-screening result, and we maintain a smoke-free work environment. We are an equal opportunity employer committed to diversity in the workplace.