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SEC Audit Manager - Regulator

Regal Executive Search

San Mateo, CA

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JOB DETAILS
SKILLS
Accounting, Auditing, Brokerage, Business Administration, Certified Public Accountant (CPA), Communication Skills, Consulting, Generally Accepted Accounting Principles (GAAP), Identify Issues, International Financial Reporting Standards (IFRS), Legal, Multilingual, Presentation/Verbal Skills, Public Accounting, Public Company Accounting Oversight Board (PCAOB), Quality Control, Reporting Skills, Sarbanes-Oxley Act (SOX), Securities and Exchange Commission (SEC), Team Player, Willing to Travel, Writing Skills
LOCATION
San Mateo, CA
POSTED
30+ days ago

SEC Audit Manager / Regulator

 

Overseeing the audits of public companies and SEC-registered brokers and dealers in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports.

 

Job Description

 

As an SEC Audit Manager / Regulator you will have the opportunity to use your skills and experience in auditing to participate in a rigorous program of inspections of registered public accounting firms including:

 
  • Inspecting portions of audit workpapers to assess the degree of compliance with the Sarbanes-Oxley Act, the rules of the Board, the Securities and Exchange Commission, and professional standards in connection with the performance of audits, issuance of reports, and related matters involving issuers;
  • Assessing the firms' quality control structures and the related impact these structures have on audit quality;
  • Meeting and interviewing firm personnel to (1) understand the firms' quality control structures, (2) understand the audit approach to audit engagements, and (3) further develop and/or identify quality control and/or audit deficiencies;
  • Gathering and organizing information to support identified inspection issues;
  • Researching and consulting with others on technical issues;
  • Communicating findings to firm personnel in meetings and in comment forms; and
  • Preparing comment forms and assisting with drafting inspection reports.

 

As an Inspections Specialist, you will also be able to:

 
  • Enhance your technical skills through inspection activities and collaboration with highly skilled Inspection teams;
  • Participate in inspection projects aimed at enhancing the effectiveness of the Inspection program;
  • Participate in the development and/or facilitation of training courses; and
  • Participate in the firms recruiting process.

 

Qualifications

 
  • Current CPA (Certified Public Accountant) license required;
  • Six to fifteen years of progressively responsible experience having attained the Senior Manager or Manager level in the audit of companies traded on the U.S. markets;
  • Bachelor's degree in Accounting; MBA/Master's degree is a plus;
  • Strong knowledge of PCAOB standards, generally accepted accounting principles and/or international financial reporting standards;
  • Strong communication skills, both written and oral;
  • Ability to work independently and as a member of a team;
  • Ability to travel 20-30% of time (including some non-U.S. travel); and
  • Fluency in a foreign language is a plus.

 

Our Values

 

As we seek to accomplish our mission and implement our vision, we expect integrity, pursue excellence, operate with effectiveness, embrace collaboration, and demand accountability.

 

Equal Employment Opportunity

 

All  employees are entitled to equal opportunity and a professional work environment, free of discrimination and harassment. A workplace free of discrimination is fundamental to professional success and to the mission. We will consider for employment all qualified applicants with criminal histories in a manner consistent with applicable law.

 

About the Company

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Regal Executive Search