Summary of Responsibilities: This position is in the Broker-Dealer Finance department within MetLifes Financial Operations, Accounting and Controllers Team (FACT).

The position is accountable for the oversight of financial reporting and certain regulatory compliance matters of five registered broker-dealer entities.

Related responsibilities include management of 10 accounting staff.

The position reports to the VP of the Broker-Dealer Finance group, and has regular interaction with external auditors and regulators in addition to multiple groups within MetLife, both financial and non-financial.

Principal Responsibilities:
Maintain timely and accurate financial books and records
Lead the monthly FOCUS reporting to the SEC and FINRA for the broker-dealer entities.

Ensure continuous compliance with SECs broker-dealer Financial Responsibility rules, including 15c3-3 and 15c3-1
Motivate and train staff
Manage external and internal audits
Manage capitalization of the regulated entities in an efficient manner
Proactively identify risk factors and formulate potential strategies for such factors
Coordinate the departments interaction with front office partners and other support areas within MetLifeJob Requirements
B.

S in Accounting/Finance – at least 8 years of relevant financial services industry experience
Prior supervisory experience at least 3 years leading people and projects
FINRA Series 27 highly preferred
CPA designation highly preferred
Proficiency in US GAAP
Demonstrated analytical and problem-solving skills
Ability to work with associates at all levels, including senior management.

Ability to produce results and carry out initiatives without constant supervision
Able to manage time efficiently and prioritize responsibilities
Excellent written and verbal communication and interpersonal skills How to ApplyFor immediate consideration, click the Apply Now button below.

You will be directed to complete an on-line profile which may take 15 20 minutes to complete.

Upon completion, you will receive an automated confirmation email verifying you have successfully applied to the job.

Director, Broker-Dealer Finance Job in Bridgewater 08807, New Jersey US

Company Overview: Built on the core values of experience, quality, and client service, SB & Company, LLC (SBC) is a multicultural public accounting and business advisory firm based in Hunt Valley, Maryland serving the Baltimore-Washington, DC metropolitan area.

SBC was formed by former Big 4 personnel who understand the business, industry needs, challenges, goals, strategies and expectations.

We deliver technical skills, business knowledge, and value.

We model Big 4 career paths, development and training, and we encourage work life balance.

We provide professional assurance services to a wide variety of industries including financial statements and internal audits, control assurance, regulatory consulting, and enterprise risk management that identify risks and opportunities beyond the traditional financial reporting function.

Summary of Responsibilities: The Information Technology (IT) Staff Auditor is given a wide variety of information technology audit and financial audit assignments, primarily under the supervision of the Information Technology Audit Manager.

Performance is judged based on the quality of work, application of audit and security knowledge, and ability to meet time constraints.

  Essential Functions: · Confirms client IT controls through discussion, observation, and inspection of client facilities and documentation.

· Develops technical knowledge regarding networking, security controls, application access and processing controls and application change management controls.

· Performs other accounting, auditing, tax, and consulting duties as needed in engagements and as assigned by supervisory personnel.

· Becomes familiar with IT related pronouncements of the FASB, AICPA, and when assigned to governmental engagements, the GAO and GASB.

· Becomes familiar with appropriate IT related audit guidance from ISACA, IIA, GAO and NIST.

· Becomes proficient at audit documentation using the firms software programs.

· Expected to provide ideas to improve clients systems and operations during the engagement.

· Communicates audit progress and findings by providing information in status meetings and highlighting unresolved issues.

· Understands the rules, regulations, and Code of Professional Conduct of the AICPA.

· Attends and participates in professional education including in-house industry group meetings and participates in professionally sponsored training sessions.

· Progresses professionally by working toward passing the Certified Information Systems Auditor (CISA) exam as soon as possible.

· Uses the firms software programs to automate the audit process.

This may include using technology to link clients software with the firms.

Minimum Qualifications: · Bachelors or Masters degree in Accounting, Accounting Information Systems, Computer Science or related field.

· Minimum of 60 hours of continuing professional education is required each year.

· Proficiency with computers, word processing and spreadsheet software packages.

· Knowledge of accounting and business process principles.

· Knowledge of network and application security best practices.

· Ability to communicate clearly and concisely in English.

· Either holds a current information systems auditor certification, or is working toward obtaining the certification by taking and passing the CISA exam.

Come join a growing company where ideas, ingenuity, and entrepreneurial spirit are welcome!

IT Auditor Job in Hunt Valley 21030, Maryland US