Wealth Management Internal Audit with Regulatory Reporting - New York, NY(Onsite) - Only on W2

New York, NY, US • Posted 6 hours ago • Updated 6 hours ago

Contract W2

No Travel Required

Able to Sponsor

On-site

$54 - $58/hr

Fitment

Dice Job Match Score™

⭐ Evaluating experience...

Job Details

Skills

Internal Auditing
Regulatory Reporting
Regulatory Compliance
Gap Analysis
Wealth Management Internal Audit
CAT (Consolidated Audit Trail)
TRACE (Trade Reporting and Compliance Engine)
SEC
Certified Public Accountant
Certified Internal Auditor (CIA) or CPA.
Certified Financial Planner (CFP)

Summary

The following requirement is open with our client.

Title : Wealth Management Internal Audit with Regulatory Reporting

Location : New York, NY(Onsite)

Duration : 12+ Months

Rate : 54 - 58$/hr on W2

Relevant Experience (in Yrs.) :

Job Description:

Experience in Wealth Management Internal Audit and Regulatory Reporting.
Strong knowledge of wealth management operations including equities, options, and stock plan processes.
Hands-on experience auditing regulatory reporting processes and validating trade data submitted to regulators.
Experience working with CAT (Consolidated Audit Trail) and TRACE (Trade Reporting and Compliance Engine) platforms.
Ability to perform audit testing, gap analysis, walkthroughs, and prepare audit reports for leadership.
Knowledge of SEC and Client regulations related to trade reporting and compliance.
Experience in internal audit lifecycle (planning, scoping, testing, and reporting).
3–7 years of experience in internal audit / regulatory reporting / wealth management compliance.
Certified Internal Auditor (CIA) or CPA.
Client Series 65 or 66.
Certified Financial Planner (CFP)-Preferred

Must Have Skills

Wealth Management Internal Audit
Regulatory Reporting
CAT (Consolidated Audit Trail) and TRACE (Trade Reporting and Compliance Engine)
Internal Audit

Thanks & regards,

Shireesha Thanniru

Technical Recruiter

ASCII Group, LLC Website:

38345 W 10 Mile Rd, Suite 365, Farmington, MI 48335, US

Office: Email:

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.

Dice Id: 10117479
Position Id: 8906037
Posted 6 hours ago

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