Inspections Specialist, Broker Dealer - New York (PCK644-767) New York, New York
The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect the interests of investors and further the public interest in the preparation of informative, accurate and independent audit reports. The PCAOB also oversees the audits of broker-dealers, including compliance reports filed pursuant to federal securities laws, to promote investor protection.
The PCAOB has full-time, regular positions for Inspections Specialists in the Division of Registration and Inspections in the broker-dealer program for certain office locations listed on our website. The Broker-Dealer Program oversees the audits of registered firms that audit broker and dealers. Audit professionals who join the PCAOB will directly contribute to the PCAOB’s mission of protecting investors.
As an Inspections Specialist in the broker-dealer program 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:
• Assisting with the development and implementation of an inspections program of firms that audit broker dealers;
• 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 PCAOB’s recruiting process.
• Current CPA (Certified Public Accountant) license required;
• Six to Fifteen years of progressively responsible experience having attained the Senior Manager or Manager in public accounting including significant experience in the audit of broker dealers;
• Bachelor's degree in Accounting; MBA/Master's degree is a plus;
• Strong knowledge of PCAOB standards and generally accepted accounting principles including specialized areas common to broker dealer organizations;
• Strong communication skills, both written and oral;
• Ability to work independently and as a member of a team;
• Ability to travel 25-35% of time (including some non-U.S. travel); and
• Fluency in a foreign language is a plus.
The PCAOB encourages a spirit of cooperation and teamwork, and fosters an environment of professional growth where employees can exercise their leadership ability, creativity, technical competence, and public interest focus in helping the PCAOB fulfill its mission.
Equal Employment Opportunity
The PCAOB is an Equal Opportunity Employer committed to establishing a diverse workforce.