Senior Associate - Audit Broker Dealer

Role Summary :

As a Senior Associate, professional will be leading Engagement and responsible for performing Audit under remote service delivery model by following Grant Thornton Audit approach, methodology and tools. Roles and Responsible includes execution and supervision of work performed by staff, provide class room training / on the job training to staff, working on multiple engagement in rapidly growing fast-paced, interactive and result based team environment by collaborating with diverse team. Broker Dealer audit team is a part of the Grant Thornton INDUS. As a professional in this team, you will work with GT US teams to audit various clients with business in the broker dealer industry.

Responsibilities :

• Lead or supervise the engagement team staff on the planning, execution and conclusion of an audit of SEC registered broker dealer entities.
• Experience in auditing SEC registered broker dealer entities
• Experience in auditing the key regulatory areas like 15c3-1, 15c3-3 and Internal controls over compliance.
• Knowledge on the Forms filed by broker dealers (FOCUS reports & SIPC)
• Working knowledge of relevant SEC / FINRA Rules and Regulations
• Working knowledge of US GAAP, relevant SEC / FINRA Rules and Regulations and Forms filed by broker dealers.
• Familiarity with ASC 606, 820 and 940.
• Working experience on areas like testing of Fees, Supplemental disclosure requirements and substantive analytical procedures.
• Knowledge on the attestation standards of broker dealers (AT1 & AT2)
• Gain understanding of client operations, processes, and business objectives and utilize that knowledge on engagements.
• Perform detailed review of work executed by staff (Analysts and Associates).
• Implement high standards of quality for performance of team by taking ownership of audit and monitoring engagement progress.
• Communicate effectively with Client, onshore and Administrators throughout the course of the audit.
• Provide effective counseling, training, coaching, and mentoring to team members to assist them in fully developing their potential. Also provide feedback and direction.
• Facilitate trainings to team members.
• Lead multiple audit assignments simultaneously and competing priorities in a rapidly growing, fast- paced, interactive, results-based team environment by collaborating with diverse teams.
• Demonstrate maturity, poise, and self-confidence in managing self and dealing with colleagues.
• Contribute to a positive team environment by demonstrating consistent commitment and optimism towards work challenges.
• Build relationship with US audit teams and should be able to identify and discuss complex issues and present workable solutions in a simple, meaningful, and focused manner with all levels of employees.
• Ensure that audit documentation follows quality standards of the Firm.
• Attend professional development and training sessions on a regular basis.

Skills

Professional Experience / Qualifications

Interested candidates can share their CVs to rinku.giri@us.gt.com