The VP/GMs manage the overall planning and execution of the audit plan within the Securities team with the following primary responsibilities:
* Manage the overall execution of the Securities audit plan.
* Schedule resources and projects.
* VP/GM candidates typically possess 10+ years of experience in an audit or industry related role. * Highly motivated and possess strong analytical and intellectual abilities. * Strong verbal and written communication skills for escalating issues to respective senior managers and business owners. * Strong leadership and interpersonal skills and ability to manage a diverse group of experienced audit professionals. * Strong knowledge of Securities Division business activities. For example, sales and trading functions, financing activities, financial instruments, derivative products, valuation, operational processes, or rules and regulations. * Strong knowledge of or relevant work experience in a broker-dealer business area or control function (e.g., Controllers, Operations, Compliance). * Audit experience, preferably in public accounting or internal audit in the financial services industry. * Ability to plan and manage audits; including designing the scope and audit steps to test specific controls identified. * Demonstrated ability to establish strong working relationships with audit clients and stakeholders. * Ability to manage multiple assignments and work collaboratively in a team environment, including coaching and developing junior staff.
A
trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
services community to facilitate end-to-end transaction processing.
With
more than 4,500 client firms in 60 countries managing more than $12
trillion, Advent has established itself as a leading provider of
mission-critical applications for investment management operations of
all sizes and strategies.
QUMAS
is a global compliance software company offering a complete Enterprise
Governance, Risk and Compliance solution with over 250 customer
deployments.
Belzberg
Technologies has been at the forefront of the electronic trading
evolution from the very beginning, and continues to provide world-class
service, execution and technology to the securities industry.
