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CPS, Inc. · 2 weeks ago

Senior Audit Manager: Broker-Dealer & Fund of Funds

Chicago, IL

Full-time

Onsite

Senior Level

$140K/yr - $215K/yr

CPS, Inc. is a company focused on matching accounting and finance professionals with leading employers. They are seeking a Senior Audit Manager to lead audit engagements for broker-dealers and fund-of-fund entities, ensuring compliance with relevant standards and regulations.

Recruiting

H1B Sponsor Likely

Hiring Manager

Christopher Schutt

Responsibilities

Lead end-to-end audit engagements for broker-dealers and fund-of-fund entities, including planning, execution, supervision, and completion

Ensure audits comply with PCAOB standards, SEC regulations (including Rule 17a-5), AICPA auditing standards, and firm methodologies

Review and approve audit workpapers, financial statements, and regulatory filings

Identify and resolve complex accounting and auditing issues related to investments, valuation, revenue recognition, capital compliance, and internal controls

Serve as a subject matter expert on broker-dealer and fund-of-fund audit matters

Stay current on SEC, PCAOB, and industry developments impacting financial services clients

Evaluate compliance with net capital rules, customer protection rules, and SIPC requirements

Review and advise on complex investment structures, alternative investments, and valuation methodologies

Qualification

Broker-Dealer AuditingFund of Funds AuditingPCAOB Standards ComplianceSEC Regulations KnowledgeAICPA Standards KnowledgeLeadershipProblem SolvingCommunication Skills

Required