Vice President, Auditor, Investment Services
About The Position
7 years or more of experience in financial services/ capital markets specifically within Internal Audit or Risk or Compliance/ operational risk control testing Strong knowledge of financial systems or exposure to larger financial institutions Degree in Finance or Accounting and/or professional certification like CPA, CFA, CIA preferred. Excellent team player with effective project management skill Additional core skill requirements include understanding of the applied and interpretation of analytics results for Audit, critical thinking and problem solving. Candidates must have deep knowledge of clearing broker‑dealer functions and/or the full trade lifecycle, including: Execution processes: Order routing, trade capture, and execution mechanics across various asset classes. Clearing operations: Trade comparison, affirmation, matching, and novation; understanding how clearing brokers mitigate counterparty risk and ensure post‑trade data accuracy. Settlement processes: End‑to-end settlement cycles (e.g., T+1/T+2), including DVP/FOP, settlement instructions, fails management, and corporate‑action processing. Custody services: Asset safeguarding, custody controls, segregation requirements, reconciliations, asset servicing, and books‑and-records responsibilities. U.S. securities laws and regulatory structure (e.g., Securities Exchange Act of 1934). FINRA rules applicable to broker‑dealers, including supervision, margin, customer protection, communications, and reporting. SEC requirements such as customer asset protection (Rule 15c3‑3), net capital (Rule 15c3‑1), and recordkeeping/reporting obligations.
Requirements
- 7 years or more of experience in financial services/ capital markets specifically within Internal Audit or Risk or Compliance/ operational risk control testing
- Strong knowledge of financial systems or exposure to larger financial institutions
- Excellent team player with effective project management skill
- Understanding of the applied and interpretation of analytics results for Audit
- Critical thinking and problem solving
- Deep knowledge of clearing broker‑dealer functions and/or the full trade lifecycle, including: Execution processes: Order routing, trade capture, and execution mechanics across various asset classes.
- Clearing operations: Trade comparison, affirmation, matching, and novation; understanding how clearing brokers mitigate counterparty risk and ensure post‑trade data accuracy.
- Settlement processes: End‑to-end settlement cycles (e.g., T+1/T+2), including DVP/FOP, settlement instructions, fails management, and corporate‑action processing.
- Custody services: Asset safeguarding, custody controls, segregation requirements, reconciliations, asset servicing, and books‑and-records responsibilities.
- U.S. securities laws and regulatory structure (e.g., Securities Exchange Act of 1934).
- FINRA rules applicable to broker‑dealers, including supervision, margin, customer protection, communications, and reporting.
- SEC requirements such as customer asset protection (Rule 15c3‑3), net capital (Rule 15c3‑1), and recordkeeping/reporting obligations.
Nice To Haves
- Degree in Finance or Accounting and/or professional certification like CPA, CFA, CIA preferred
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
5,001-10,000 employees
