Audit Director - Broker Dealer - New York

Prior FINOP or related experience very helpful. Must have knowledge of Broker Dealer domain.

Responsibilities:

• Oversee broker dealer audits, ensuring all procedures are conducted in line with industry standards
• Develop and implement comprehensive audit programs to ensure effective and efficient audits
• Utilize CCH ProSystem Fx and CCH Sales Tax software for audit processes
• Leverage Cerner Technologies for efficient auditing tasks
• Handle all accounting functions and manage budget processes
• Conduct review and testing of workpapers
• Communicate audit plans and findings to the audit committee
• Ensure compliance with 3M company policies and procedures
• Maintain accurate records and prepare detailed reports on audit findings
• Coordinate with other departments to resolve customer inquiries and issues effectively and promptly.
• Proficiency in 3M software and its functionalities
• Extensive knowledge and experience in auditing, including the development of audit plans and programs
• Familiarity with CCH ProSystem Fx and CCH Sales Tax software
• Experience with Cerner Technologies and its applications in auditing
• Strong understanding of accounting functions and their role in business operations
• Ability to effectively communicate and work with an audit committee
• Experience in auditing in accordance with established audit plans
• Knowledge of budget processes and how to integrate them in auditing
• Proven track record of leading and supervising an audit team
• Strong analytical, problem-solving, and decision-making skills
• Excellent written and verbal communication skills
• Ability to manage multiple tasks and projects simultaneously
• High ethical standards and professionalism, with a commitment to confidentiality.