Examiner: Financial Regulatory Survillence
Chicago, Il, Us
-Responsible for assigned components of the regulatory financial and compliance examination, working from Joint Audit Committee approved programs, including bank statement, safekeeping, carrying broker, clearing organization and equity system analysis.-Perform detailed examination testing and documentation of assigned areas.-Identify examination issues and problems, document findings in a clear and concise manner and communicate findings and recommendations to the clearing member firm.-Learn firm’s reconciliation process, understand equity system documents, analyze third party documents.-Maintain the audit trail and ensure it is logical and organized. Follow the examination process from beginning to end.-Review monthly, bi-weekly and daily financial statements. Discuss issues and balance fluctuations with the clearing member firm and document findings.