Audit Senior Associate​ - ​Broker Dealer

  • Company: RSM US LLP
  • Location: Chicago, Illinois
  • Posted: December 07, 2017
  • Reference ID: req2539

Broker Dealer-Senior Associate

RSM is looking for a Senior Associate 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

  • Develop an understanding of the client's business, and become a broker dealer industry specialist to understand client specific needs

  • Understand and utilize RSM’s Audit Methodology

  • Supervise Audit Associates 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

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

  • 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 Managers and Partners

  • Identify performance improvement opportunities

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

  • Ensure professional development through ongoing education

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

Required Qualifications:

  • BS/BA Degree in Accounting or equivalent degree

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

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

  • CPA Certification or demonstrated progress towards obtaining CPA certification, including required coursework

  • Demonstrated ability to in-charge an engagement

  • Familiarity with auditing under PCAOB standards

  • Familiarity with net capital requirements for broker dealers

  • Introducing or clearing broker experience

  • Performing substantive testing and analytical review procedures as well as documentation of internal control systems

Preferred Qualifications:

  • Previous experience auditing broker dealers and related organizations

  • Demonstrated ability to in-charge an engagement

Share this Job