Auditor Career Research and Resources
Gannett Welsh & Kotler
Develop and deliver compliance programs, compliance support and risk management that clearly defines all required activities on weekly, monthly, quarterly, semi-annual and annual basis. Conduct annual compliance program review required by Regulatory Rule 206(4) – 7. Develop and present all related executive and management reporting.
Avg. Salary: $150,000 · Company Rank: Not Available
Old Mutual US Holdings Inc
Drove development and implementation of annual audit plans. Responsible for audits of the operations, financial, regulatory and information technology components executed at affiliate asset management firms in Boston, Chicago, Los Angeles, San Francisco, Dallas, Toronto, Portland (Oregon), New York, New Jersey, Pennsylvania and Vermont as well as in London, Cape Town, Warsaw, Luxembourg, Frankfurt, Tokyo, Hong Kong and Ber...
Avg. Salary: $150,000 · Company Rank: Not Available
Ernst Young LLP
Provided internal audit services in a fully outsourced capacity to several financial services firms who had a combined total of over 50 investment advisor affiliates and/or divisions. Facilitated audits and examinations that covered marketing, directed brokerage, trading (aggregation, allocation, cross trading, principal trading & IPOs), best execution, soft dollars, code of ethics, personal trading, portfolio management, c...
Avg. Salary: $150,000 · Company Rank: Not Available
John Hancock Life Insurance Company
Ensured regulatory compliance in the offering and management of firm products that included variable annuities with underlying investments in a suite of mutual funds from multiple fund families that included Fidelity, Cap Guardian, Janus, Putnam, Wellington, John Hancock Funds, Morgan Stanley, REEF, Allianz, and Goldman Sachs. Provided periodic regulatory reporting including, N-CSR, and NSAR. Performed annual variable ann...
Avg. Salary: $150,000 · Company Rank: Not Available
Liberty Financial Companies, Inc
Reviewed business subsidiaries in relation to SEC, NASD and DoL (ERISA) Regulations. Performed mock SEC examinations. Developed and conducted detailed audit programs. Performed risk based operational audits on subsidiary business units. Guided the efforts of as many as 4 professionals during risk, control and test work phases of each audit.
Avg. Salary: $150,000 · Company Rank: Not Available
Retired - Working with Foster Children
The responsibilities are to provide guidance in life experiences, meals, transportation to school, and help the children to do outreach programs in the community. Also, provided weekly and monthly reports of all activities including doctor appointments, meals, vehicle mileage, petty cash usage and behavior of the children.
Avg. Salary: $90,000 · Company Rank: Not Available
Self - Employed (working at AIG)
Team member responsible for testing general computer controls to comply with the Sarbanes-Oxley Act (SOX)
Avg. Salary: $90,000 · Company Rank: 4.0 out of 5
Self Employed (Working with Callway Partners)
Team leader responsible for identifying, documenting and testing key general computer controls at Asahi Glass Company and Hancock Fabrics.
Avg. Salary: $90,000 · Company Rank: 5.0 out of 5
Self-employed (Working at Lowes)
Team member responsible for testing general computer controls to comply with SOX in an IBM mainframe and Unix environment.
Avg. Salary: $90,000 · Company Rank: 3.0 out of 5
Self - Employed (Working at Sprint - Nextel)
Team leader responsible for identifying, documenting and testing key general computer controls in a Unix environment
Avg. Salary: $90,000 · Company Rank: 5.0 out of 5
