CPS Inc
Senior Audit Manager: Broker-Dealer & Fund of Funds
CPS Inc, Hinsdale, Illinois, United States, 60521
Senior Audit Manager: Broker-Dealer & Fund of Funds
Posted: 12/17/2025 • Industry: Accounting & Finance • Pay Rate: $140,000–$215,000 • Remote Friendly • Experience: 5+ years
Job Description Lead end‑to‑end audit engagements for broker‑dealers and fund‑of‑fund entities, ensuring compliance with PCAOB standards, SEC regulations (Rule 17a‑5), AICPA guidance, and firm methodologies.
Key Responsibilities
Engagement Leadership – plan, execute, supervise, and complete audit engagements.
Ensure audit compliance with PCAOB, SEC, and AICPA standards.
Review and approve audit workpapers, financial statements, and regulatory filings.
Identify and resolve complex accounting and auditing issues related to investments, valuation, revenue recognition, capital compliance, and internal controls.
Technical & Regulatory Expertise
Serve as subject‑matter expert on broker‑dealer and fund‑of‑fund audit matters.
Maintain current knowledge of SEC, PCAOB, and industry developments.
Evaluate compliance with net‑capital rules, customer‑protection rules, and SIPC requirements.
Review and advise on complex investment structures, alternative investments, and valuation methodologies.
Requirements
Bachelor’s degree in Accounting or related field (Master’s preferred).
CPA license (active and in good standing).
Minimum 8–10 years of public accounting experience focused on broker‑dealer and/or investment fund audits.
Strong knowledge of PCAOB standards, SEC regulations, and AICPA guidance.
Proven experience managing multiple complex engagements and client relationships.
Preferred
Experience auditing fund‑of‑fund structures and alternative investments.
Prior experience interacting with regulators or handling regulatory inquiries.
Experience with audit technology and data analytics tools.
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Job Description Lead end‑to‑end audit engagements for broker‑dealers and fund‑of‑fund entities, ensuring compliance with PCAOB standards, SEC regulations (Rule 17a‑5), AICPA guidance, and firm methodologies.
Key Responsibilities
Engagement Leadership – plan, execute, supervise, and complete audit engagements.
Ensure audit compliance with PCAOB, SEC, and AICPA standards.
Review and approve audit workpapers, financial statements, and regulatory filings.
Identify and resolve complex accounting and auditing issues related to investments, valuation, revenue recognition, capital compliance, and internal controls.
Technical & Regulatory Expertise
Serve as subject‑matter expert on broker‑dealer and fund‑of‑fund audit matters.
Maintain current knowledge of SEC, PCAOB, and industry developments.
Evaluate compliance with net‑capital rules, customer‑protection rules, and SIPC requirements.
Review and advise on complex investment structures, alternative investments, and valuation methodologies.
Requirements
Bachelor’s degree in Accounting or related field (Master’s preferred).
CPA license (active and in good standing).
Minimum 8–10 years of public accounting experience focused on broker‑dealer and/or investment fund audits.
Strong knowledge of PCAOB standards, SEC regulations, and AICPA guidance.
Proven experience managing multiple complex engagements and client relationships.
Preferred
Experience auditing fund‑of‑fund structures and alternative investments.
Prior experience interacting with regulators or handling regulatory inquiries.
Experience with audit technology and data analytics tools.
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