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Audit Manager Broker Dealer

Expired Job

RSM International Network Chicago , IL 60602

Posted 3 months ago

Audit Manager Broker Dealer

Chicago, IL (1 S. Wacker)


Job Description

Req ID: req3920

Audit Manager Broker Dealer


RSM is looking for a Audit Manager to join the Broker Dealer team in our Chicago office. Our company is the 5th largest auditor of broker dealers in the country and is continuously growing. With due dates being 60 days after the broker dealer's year end, this team is committed to customer service and meeting their client's needs.


  • Provide timely, high quality client service that meets or exceeds client expectations including coordinating the auditing of all required financial statements, related disclosures, and other client deliverables

  • Assess risk along with design and communicate audit procedures to engagement teams

  • Understand and utilize RSM's Audit Methodology

  • Manage multiple engagement teams and prepare end-of-engagement evaluations for staff

  • Understand skillsets and capabilities of Senior Associates and Supervisors and monitor and review work product that they prepare and report on performance while articulating coaching notes throughout the process

  • Identify technical accounting matters early and assess impact on financial statements; coordinate with firm specialists as needed

  • Supervise Audit Seniors and Supervisors on engagement teams and function as an in-charge facilitating field work by monitoring and reporting regarding productivity and adherence to work plan schedules on each assignment

  • Provide a comprehensive review of audit work papers and financial statements

  • Maintain contact with clients throughout the year to understand impact of significant developments in client's business and assess impact on current year audit engagements

  • Develop others within the Firm through facilitating levels based or industry training, advising on career development or participating in other Firm initiatives

  • Subscribe to and actively read industry publications and share relevant information with clients as considered applicable

  • Anticipate and address client concerns and escalate issues as they arise

  • Understand RSM's lines of businesses, availability of services and where applicable, discuss with client management of opportunities to make valuable introductions to others in the firm

  • Develop a strategy to utilize relationships external to the firm with different types of Centers of Influence to effectuate business growth

  • Manage profitability of projects

  • Interact with clients to help ensure the information flow from the client to the audit team is efficient

  • Identify and communicate accounting and auditing matters to Senior Managers and Partners

  • Identify performance improvement opportunities

  • Recognize and inform management of opportunities to increase types of services to clients

  • Ensure professional development through ongoing education

  • Keep abreast of latest developments as they affect GAAP and the Firm's standards and policies

  • Willingness to travel 25% of the year, depending on your clients

Required Qualifications:

  • BS/BA Degree in Accounting or equivalent degree

  • CPA or CA Certification

  • 5+ years of current or recent experience in a public accounting environment

  • Experience leading teams and mentoring associates

  • Understanding of audit services with knowledge of GAAP, GAAS and FASB regulations

  • A proven record of building profitable, sustainable client relationships

  • Minimum of 4 years of team lead or in-charge experience overseeing staff on multiple engagements

  • Familiarity with auditing under PCAOB standards

  • Familiarity with net capital requirements for broker dealers

  • Introducing or clearing broker experience

Preferred Qualifications:

  • Previous experience auditing broker dealers and related organizations

  • A successful record of directing and deploying staff and senior associates on multiple, simultaneous engagements

  • Clearing broker experience

  • Awareness of tax issues impacting broker dealers

  • Awareness of regulatory issues impacting broker dealers

You want your next step to be the right one. You've worked hard to get where you are today. And now you're ready to use your unique skills, talents and personality to achieve great things. RSM is a place where you are valued as an individual, mentored as a future leader, and recognized for your accomplishments and potential. Working directly with clients, key decision makers and business owners across various industries and geographies, you'll move quickly along the learning curve and our clients will benefit from your fresh perspective.

Experience RSM US. Experience the power of being understood.

RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.

Location Street Address: One South Wacker Dr Ste 800, Chicago, IL 60606-3392 USA

Region: Great Lakes Region

Position Type: Experienced

Job Type: Full Time

Degree Required: Bachelor

Travel Required: Yes

Sponsor candidates who are not eligible to work in US: No

Requisition ID: req3920

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Audit Manager Broker Dealer

Expired Job

RSM International Network