Audit Manager - Broker Dealer
$91.4k - $186.9kCrowe Global
Your Journey at Crowe Starts Here:At Crowe, you can build a meaningful and rewarding career. With real flexibility to balance work with life moments, you’re trusted to deliver results and make an impact. We embrace you for who you are, care for your well-being, and nurture your career. Everyone has equitable access to opportunities for career growth and leadership. Over our 80-year history, delivering excellent service through innovation has been a core part of our DNA across our audit, tax, and consulting groups. That’s why we continuously invest in innovative ideas, such as AI-enabled insights and technology-powered solutions, to enhance our services. Join us at Crowe and embark on a career where you can help shape the future of our industry.Job Description:Responsibilities:Oversee and manage a team of auditors, providing guidance and support to ensure high-quality audit work that is conducted in accordance with professional standards and firm policies.Serve as the primary point of contact for clients, managing relationships, ensuring exceptional responsiveness, and proactive communication.Plan and design audit strategies and approaches tailored to clients' industry and risks; ensure compliance with regulatory requirements and accounting standards.Manage the audit process, including budgeting, scheduling, billing, and resource allocation.Understand engagement economics and ensure compliance with firm-required processes such as assessment of WIP, invoicing and time entry.Present audit findings and recommendations to senior management or audit committees.Stay updated on changes in accounting standards, industry regulations, and best practices.Participate in the firm's growth initiatives by identifying and promoting new ideas and business solutions that result in extended services to existing clients.Contribute to proposals and presentations for prospective clients.Network with industry professionals and participate in professional organizations.Contribute to the development of firm policies and procedures.Uphold the highest standards of integrity, independence, and professional skepticism.Qualifications:Bachelor’s or master’s degree in accounting, finance, or business administration or other related field.5+ years of recent and relevant public accounting external audit experience working with Broker Dealer clients.Must have CPA certification aligned to the assigned home office state or able to acquire a reciprocal one for that state.3+ years’ experience in supervisory role.Exceptional candidates will demonstrate:Excellent leadership and collaboration skills.Exceptional analytical, communication, and project management skills.Strong ability to assess risk and apply technical accounting and auditing skills to engagements, with a keen eye for details.Excellent ability to balance multiple client engagements and audit teams successfully in a fast-paced environment, adapting to situations as necessary.Exceptional professional presence with clients, prospects, all levels of staff, and colleagues.Ability to work additional hours as needed and travel to various client sites or Crowe offices.We expect the candidate to uphold Crowe’s values of Care, Trust, Courage, and Stewardship. These values define who we are. We expect all of our people to act ethically and with integrity at all times.In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon hire. Crowe is not sponsoring for work authorization at this time.The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Crowe, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $91,400.00 - $186,900.00 per year.Our Benefits:Your exceptional people experience starts here. At Crowe, we know that great people are what makes a great firm. We care about our people and offer employees a comprehensive total rewards package. Learn more about what working at Crowe can mean for you!How You Can Grow:We will nurture your talent in an inclusive culture that values diversity. You will have the chance to meet on a consistent basis with your Career Coach that will guide you in your career goals and aspirations. Learn more about where talent can prosper!More about Crowe:Crowe ( is one of the largest public accounting, consulting and technology firms in the United States. Crowe uses its deep industry expertise to provide audit services to public and private entities while also helping clients reach their goals with tax, advisory, risk and performance services. Crowe is recognized by many organizations as one of the country's best places to work. Crowe serves clients worldwide as an independent member of Crowe Global, one of the largest global accounting networks in the world. The network consists of more than 200 independent accounting and advisory services firms in more than 130 countries around the world.Crowe LLP provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, sexual orientation, gender identity or expression, genetics, national origin, disability or protected veteran status, or any other characteristic protected by federal, state or local laws.Crowe LLP does not accept unsolicited candidates, referrals or resumes from any staffing agency, recruiting service, sourcing entity or any other third-party paid service at any time. Any referrals, resumes or candidates submitted to Crowe, or any employee or owner of Crowe without a pre-existing agreement signed by both parties covering the submission will be considered the property of Crowe, and free of charge.Crowe will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws.Please visit our webpage to see notices of the various state and local Ban-the-Box laws and Fair Chance Ordinances, where applicable.We are committed to a merit-based hiring process, evaluating all candidates consistently using objective, job-related criteria such as relevant experience, demonstrated skills, measurable impact, and alignment with the role’s responsibilities, and making employment decisions in a fair and inclusive manner free from discrimination.If you are interested in applying for employment with Crowe and are in need of an accommodation or require special assistance to navigate our website or to complete your application, please visit our Applicant Assistance and Accommodations page for more information: #J-18808-Ljbffr
$70.6k - $139.8k
...Audit Senior Associate Your journey at Crowe starts here: At Crowe, you can build... ...Associates with experience in the Broker Dealer industry vertical. As an Audit Senior... ...customer happiness and working with client management and staff at all levels to perform...SuggestedLocal areaWorldwideHome office$70.6k - $139.8k
Crowe is seeking an Audit Senior Associate for its New York office. The role involves leading client engagements, supervising staff, and maintaining client relationships in the Broker Dealer industry. Candidates should have over 2 years of experience in public accounting...SuggestedWork at office$131.8k - $150.5k
Capital One National Association in New York is seeking a Trade Surveillance Principal Associate to enhance and execute its market conduct surveillance program. The role involves monitoring trading activities, conducting investigations, and ensuring compliance with regulatory...Suggested- ...New York Self Clearing Broker Dealer is seeking an Accounting Professional with Finance experience to work in a temp to perm role. Our... ...projections. Responsible for 15c3-3 Custody of customer assets. Create management reports to monitor capital and liquidity on a daily basis....SuggestedPermanent employmentTemporary work
- ...client is looking for an accounting consultant with extensive broker dealer experience to help with an end-to-end reconciliation. This role... ...support. • Experience working with financial statement audits and maintaining documentation that stands up to detailed review...Suggested
$110k - $145k
...The Vice President of Broker Dealer and Middle Office Operations will lead a team responsible... ...clearing, settlement, and operational management of municipal, preferred, and taxable fixed... ...of maintaining zero‑defect regulatory audit results Proven ability to mentor and...Work experience placementWork at office$143k - $180k
...MUFG Bank, Ltd is seeking a VP for their US and Canada Broker Dealer Treasury team in New York. Candidates should have over 7 years of... ...dealer products, and strong analytical skills. The role involves managing projects to optimize funding and revenue, enhancing liquidity...- ...Self-clearing broker-dealer seeks Accounts Payable specialist to bring their Accounts Payable... ...Payable Specialist will be responsible for managing the full accounts payable function for a... ...‑dealer accounting standards Support audits, regulatory exams, and internal reviews...Weekly pay
$200k - $225k
...of experience in Treasury or Liquidity Risk, and includes developing scalable liquidity models, tracking capital requirements, and managing the funding lifecycle for diverse asset classes. Each candidate must demonstrate strong data management skills and an ability to...$120.8k - $137.9k
...program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses. This... ...Front-Running, Pinging, and Escalation Management. Formally Escalate high-risk trading... ...Documentation & Reporting Maintain comprehensive, audit-ready documentation of all alert...Full timePart timeLocal area$200k - $235k
...the future of global investing! About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory... ...issues Provide support for all tax filings and annual audits What You'll Need: ~8+ years of experience at clearing...Full timeWork at officeWorldwide$150k - $180k
...highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the... ...computation and PAB reserve formula under Rule 15c3-3. Manage the timely funding of the Special Reserve Bank Account and ensure...Work at officeLocal areaWork from homeFlexible hours- ...a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers... ...customer reserve formulas, assisting with Focus filings, and managing quarterly risk assessments. Candidates should have an undergraduate...
- Overview We are seeking a Staff Accountant with 1-4 years of experience to support monthly close, reconciliations, and audit activities within a regulated financial services environment on a contract basis. This is a 5 day onsite role in the Financial District in NYC and...Contract workFlexible hoursShift work
- ...Job Description New York Self Clearing Broker-Dealer is seeking a Chief Financial Officer (... ...also involves collaborating with senior management. Key Responsibilities:... ...Manage financial reporting, accounting, and audit processes. Leadership & Collaboration...
- ...One of our NY based Broker Dealers is looking for a P&S supervisor. Kindly see details below. P&S Associate at Broker Dealer Located in New York Requirements List 2+ years experience working in the P&S Dept with a Broker-Dealer P&S specialist with Equity/Option product...Full time
$151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision...Full timePart timeWork at officeLocal areaFlexible hours$143k - $180k
...MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG US and Canada Broker Dealer Treasury - VPlocations: New York, NYtime... ...for treasury functions including: funding and liquidity risk management, asset liability management, FX/interest rate risk management...Work at officeLocal areaRemote work- ...Description Job Description Self-Clearing Broker Dealer seeks experienced Chief Compliance... ...compliance, training and annual testing Manage regulatory interactions, prepare... ...following: coordination of broker-dealer audits, inspections, reviews, and examinations;...
- ...Consultant is responsible for creating new relationships and managing existing ones with Financial Advisors at Merrill Lynch, Morgan... ...and develop the Mid West territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote...Local areaWorldwide
- ...A leading financial services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role involves managing financial aspects of the firm's broker-dealer entity overseeing $65B in assets. The ideal candidate should...Work at office
- ...work. The ideal candidate has proven experience as a CFO in a broker-dealer environment and a strong understanding of relevant... ...including FINRA and SEC. Key responsibilities include developing financial strategies and managing financial reporting. #J-18808-Ljbffr...
- ...Responsibilities Monitor and highlight key credit risk issues to management. • Assist in maintaining risk management structure, system... ...from time to time. Requirements: • Relevant experience in Broker-Dealer Risk Department. • University degree with major in Risk...
$85k - $100k
...A leading investment management firm is seeking an Advisor Consultant to foster new and existing relationships with Financial Advisors in Michigan. The candidate will lead territory development, implement business plans, and maintain expertise in market trends. A minimum...- ...about developing your career, while helping others along the way, come join the Broadridge team. As the Head of Product Management for our Bank Broker Dealer business, you will create the product strategy, be responsible for product management roadmaps, and drive execution...Work at officeLocal areaRemote work
$110k - $165k
...experience. About The Role & Team We're looking for a hands-on Senior Accountant with broker-dealer experience to own complex areas of the monthly close and play a key role in audit readiness and execution. This role requires someone who can operate independently, dig...Temporary workWork at officeWorldwideMonday to Friday- ...FINOP / Broker-Dealer Regulatory Reporting Consultant Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements...Permanent employment
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We... ...Leadership & Supervision Direct Management: Supervise a team of compliance professionals... ..., SEC, NFA, CFTC, and other SROs. Audit Support: Coordinate the collection of...Full timeWork at officeWorldwide- ...Broadridge Financial Solutions is seeking a Head of Product Management for our Bank Broker Dealer business in New York. You will create product strategies, manage product roadmaps, and lead a team to drive execution and growth. The ideal candidate has over 10 years of...Work at office
$200k - $225k
Tensec is looking for a Director - Broker-Dealer FINOP to oversee regulatory financial reporting for their Broker-Dealers. The role focuses on compliance and support for the Company's growth strategy. Ideal candidates should have over 8 years' experience in finance, specifically...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Audit Manager - Broker Dealer. Be the first to apply!
- audit supervisor New York, NY
- audit manager New York, NY
- kpmg audit associate New York, NY
- compliance audit manager New York, NY
- external audit manager New York, NY
- audit associate New York, NY
- audit director New York, NY
- director internal audit New York, NY
- senior audit manager New York, NY
- internal audit associate New York, NY


