Manager of SEC Audits and Compliance Oversight

2 weeks ago


Charlotte, North Carolina, United States Regal Executive Search Full time
Position Overview
As the Manager of SEC Audits and Compliance Oversight, you will play a pivotal role in supervising the audits of publicly traded entities and SEC-registered financial institutions, ensuring the safeguarding of investors and promoting transparency in the generation of precise, independent audit reports.

Key Responsibilities
In this role, you will leverage your auditing expertise to engage in a comprehensive inspection program of registered public accounting firms, which includes:
  • Evaluating segments of audit documentation to determine adherence to the Sarbanes-Oxley Act, regulatory standards, and professional guidelines related to audit execution and report issuance.
  • Assessing the quality control frameworks of firms and their influence on audit integrity.
  • Conducting interviews with firm personnel to gain insights into their quality control systems and audit methodologies, while identifying potential deficiencies.
  • Collecting and structuring data to support identified inspection concerns.
  • Researching technical issues and collaborating with colleagues for expert guidance.
  • Communicating findings to firm staff through meetings and formal comment documentation.
  • Drafting inspection reports and comment forms to encapsulate findings.

Professional Development
As an Inspections Specialist, you will also have the opportunity to:
  • Enhance your technical acumen through collaborative inspection activities with skilled teams.
  • Engage in projects aimed at improving the effectiveness of the inspection framework.
  • Contribute to the development and delivery of training programs.
  • Participate in the recruitment processes of firms.

Qualifications
To be considered for this position, candidates must possess:
  • A current CPA (Certified Public Accountant) license.
  • Between six to fifteen years of progressively responsible experience, ideally at the Senior Manager or Manager level in auditing publicly traded companies.
  • A Bachelor's degree in Accounting; an MBA or Master's degree is advantageous.
  • In-depth knowledge of PCAOB standards, GAAP, and/or IFRS.
  • Exceptional written and verbal communication skills.
  • The ability to work autonomously as well as collaboratively within a team.
  • Willingness to travel 20-30% of the time, including potential international travel.
  • Proficiency in a foreign language is a plus.

Core Values
At Regal Executive Search, we are committed to integrity, excellence, effectiveness, collaboration, and accountability in all our endeavors.

Equal Employment Opportunity
We are dedicated to providing equal opportunities and fostering a professional environment free from discrimination and harassment. We welcome applications from all qualified individuals.

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