Conduct audits of broker dealers to ensure compliance with regulatory requirements and industry standards.
Identify and assess risks associated with brokerage operations and develop strategies to mitigate them.
Collaborate with cross-functional teams to implement audit findings and recommendations.
Develop and maintain relationships with key stakeholders, including senior management and external auditors.
Stay up-to-date with changes in regulations and industry trends affecting broker dealers.
Provide training and guidance to junior team members on audit procedures and best practices.
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