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.
