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Tullett Prebon Llc Work Values
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Daily Duties at Tullett Prebon Llc:
• Reported directly to the Chief Audit Executive. • Conducted financial, operational and compliance audits of trading desks and operations for inter-dealer broker business. • Conducted audits in accordance with the Audit Plan and Audit Framework generally accepted auditing standards, the firm’s internal policies and procedures/guidelines and compliance with regulatory rules and regulations as promulgated by the SEC and FINRA. • Developed audit programs/risk control matrices based on exposures to operational, regulatory, and financial risks. • Evaluated existing internal policies and procedures and operations and recommend changes as necessary to be in compliance with regulatory rules and regulations as promulgated by the SEC, FINRA and the firm’s internal policies and procedures/guidelines. • Prepared formal written audit reports to effectively communicate audit findings and recommendations to clients and executive management. (U.K. Board decision made to outsource the Internal Audit function in January 2008)
What they like about Tullett Prebon Llc:
The social vibrance of a hiring firm is very important to you. Your ability to make and maintain friendships there is a critical part of your decision. You would likely be dissatisfied with a workplace that is quiet, cold, or otherwise not particularly social. When you investigate a new hiring company, ask recruiters, managers, and potential co-workers about the social life and opportunities there. This is especially important when you are relocating; moving dramatically alters your social sphere both inside and outside the workplace.
Tags
Risk Management, Internal Controls, Internal Audit, Financial Audits, Operational Audits, Compliance, Risk Assessment, Manager/Senior Manager/Director Internal Audit
Information about Tullett Prebon Llc
Company Rank: Not Available
Average length of employment : 1 year
Average salary of employees: $135,000
These are some of the questions we asked our climbers about their experiences with Tullett Prebon Llc:
| 05| | ||
| Were your performance expectations clearly communicated? | 0.0 |
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| Were you recognized for meeting or exceeding expectations? | 0.0 |
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| Did you feel like your personal contribution was important? | 0.0 |
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| Was your career path clearly outlined and discussed? | 0.0 |
| 03| | ||
| I would recommend this as a place of employment. | 0.0 | |
| I believe in the purpose of this organization. | 0.0 | |
| I would work for this organization again. | 0.0 | |
| I feel employees are fairly compensated. | 0.0 |
Climbers who worked at Tullett Prebon Llc had these interests:
| Websites | |
|---|---|
| FINRA http://www.finra.org |
FINRA Web site |
| Institute of Internal Auditors http://www.theiia.org |
Institute of Internal Auditors website |
| U.S. Securities and Exchange Commission http://www.sec.gov |
U.S. Securities and Exchange Commission website |
