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Carrot Peelers, Sales, Personality and Your Job Search
Government
Attorney
Corporate - General
Corporate - Securities and Capital Markets
Auditor Senior: $22.76 - $33.4
1-4 yrs required
Auditor Senior and/or Intermediate Duties: Coordinate and administer activities to prioritize and timely complete and document examination assignments. Analyze and review data relevant to investment adviser and broker-dealer practices and operations to assess compliance with applicable rules and regulations. Auditor Intermediate level: Collaborate with Senior Examiners as the second examiner on routine and "for cause" examination assignments of investment advisers and broker-dealers. Auditor Senior level: Be the Senior Examiner on routine and "for cause" examination assignments of investment advisers and broker-dealers.
Qualification and Experience
Qualifications: Juris Doctorate or MBA required. Prior experience working for a state securities regulator, the Securities and Exchange Commission (SEC) or FINRA required. Auditor Senior Minimum Qualifications: Bachelor's Degree in accounting, finance, economics, or English AND 3+ years experience working for a registered broker dealer or investment adviser (in the area of sales, marketing, or compliance) or a securities regulator OR 4+ years experience working for a registered broker dealer or investment adviser (in the area of sales, marketing, or compliance) or a securities regulator required. Successful Completion of Series 6, 7, 65 or 66 securities exam required. 2+ years prior experience writing formal reports for external distribution required. Proficiency with Microsoft Outlook, Word, and Excel required. Auditor Intermediate Minimum Qualifications: Bachelor's Degree in accounting, finance, economics, or English and 1+ year experience working for a registered broker dealer or investment adviser (in the area of sales, marketing, or compliance) or a securities regulator OR 2+ years experience working for a registered broker dealer or investment adviser (in the area of sales, marketing, or compliance) or a securities regulator required. Successful Completion of Series 6, 7, 65 or 66 securities exam required. 1+ year prior experience writing formal reports for external distribution required. Proficiency with Microsoft Outlook, Word, and Excel required. Deadline: August 24, 2017
Job ID: 15416. These vacancies are being posted at 2 job classes. Final job class will be determined based on successful applicant's qualifications.
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