Senior Audit Manager – Broker-Dealer & Fund of Funds

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

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.

• Engagement Leadership – plan, execute, supervise, and complete audit engagements.
• Ensure audit compliance with PCAOB, SEC, and AICPA standards.
• Review and approve audit work papers, financial statements, and regulatory filings.
• Identify and resolve complex accounting and auditing issues related to investments, valuation, revenue recognition, capital compliance, and internal controls.

• 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.

• 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.

• 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.