Financial Services Senior Job Description

Financial Services Senior Job Description

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Financial services senior provides audit support for Sarbanes Oxley compliance including generating reports, developing documentation, and performing completeness and accuracy checks.

Financial Services Senior Duties & Responsibilities

To write an effective financial services senior job description, begin by listing detailed duties, responsibilities and expectations. We have included financial services senior job description templates that you can modify and use.

Sample responsibilities for this position include:

Working with a Financial Services client base consisting of broker/dealers, hedge funds, private equities and investment advisors
Provide recommendations for business and process improvements based upon knowledge gained
Evaluate performance on client engagements
Assist with recruiting activities
Provide tax preparation and advisory services to Hedge Funds, Private Equity Funds and Investment Managers
Prepare and advise clients with foreign filing requirements
Participate in tax planning engagements for clients
Invest in professional development through active participation in training sessions and networking events
Participate in complex tax research projects for clients
Assist with recruiting activities to include campus recruiting

Financial Services Senior Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Financial Services Senior

List any licenses or certifications required by the position: CPA, CA, ACCA, CFA, WBCP, CMA, NCFM, AMFI, MBA, CISA

Education for Financial Services Senior

Typically a job would require a certain level of education.

Employers hiring for the financial services senior job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Accounting, Finance, Business, Graduate, MBA, Financial Services, Economics, Public Accounting, Computer Science, Engineering

Skills for Financial Services Senior

Desired skills for financial services senior include:

Sarbanes-Oxley Act provisions and methodologies for achieving compliance
Work programs
Audit reports
Control summaries
Audit methodologies and developing key internal audit deliverables
Institute of Internal Auditors code of ethics and compliance requirements
Accounting operations and financial frameworks
Auditing processes and methodologies
Audit methodology and IFRS exposure
Issues and the regulatory environment

Desired experience for financial services senior includes:

Financial Services experience with strong interest in financial markets
Excellent communication and negotiation skills with experience in presenting to senior leadership teams
Exceptional at building and maintaining relationships with stakeholders at all levels
Will be required to plan business activities to meet weekly sales, service and referral targets for personal and small business clients
Will be responsible for proactively initiating phone calls to book appointments with clients to discuss their needs and to offer financial solutions
Act as Branch Manager during his/her absence

Financial Services Senior Examples

1

Financial Services Senior Job Description

Job Description Example
Our company is growing rapidly and is looking for a financial services senior. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for financial services senior
  • Consolidate multiple financial statements
  • Extensive financial modeling and valuation of financial products
  • Perform trend analysis and report findings to Senior Management
  • Cash forecast and reporting
  • Provide research and commentary on business environment and outlook
  • Create process improvements
  • Stay abreast on economic and regulatory impacts to the business and industry standards
  • End to end BA role
  • Being involved in huddles
  • Understand and utilize The Firm’s Audit Methodology
Qualifications for financial services senior
  • Proactively call and book appointments with clients to ensure client needs are met
  • Experience working with multiple financial statements
  • Act as the key point of contact for the senior leadership team within the business
  • Explain complex financial information giving your insight and analysis to drive informed decision making
  • Drive productivity initiatives, identifying opportunities for improving profitability
  • Risk management across key projects
2

Financial Services Senior Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of financial services senior. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for financial services senior
  • The ability to lead by example and a commitment to high standards
  • Excellent powers of persuasion
  • Review of capital adequacy and liquidity models and systems
  • Review of asset/liability strategies
  • Evaluate risk management practices relative to industry best practices
  • Provide support for litigation, investigation, and due diligence engagements
  • Lead and assist with business development activities by identifying new clients, building business relationships with key executives and existing clients, and developing and presenting proposals
  • Supervise and perform day-to-day activities in support of projects including interaction with client personnel, other team members, and professionals from other firms involved in the engagement
  • Develop and execute “go to market” strategies related to regulatory reform initiatives and financial institution risk management activities
  • Contribute articles to industry and regulatory publications, write white papers on regulatory issues and developments, prepare regulatory practice letters addressing current developments, speak at outside seminars on current issues
Qualifications for financial services senior
  • Lead and develop a small team of qualified accountants
  • Strong commercial analysis skills
  • Qualified Accountant - CA, CPA, CIMA, ACCA
  • Must display strong Excel skills and ability to perform complex financial modeling
  • Knowledge in Prosystem
  • Ensure that writers are clear about their responsibilities and hit their deadlines without fail
3

Financial Services Senior Job Description

Job Description Example
Our company is searching for experienced candidates for the position of financial services senior. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for financial services senior
  • Participate in the development and delivery of specialized internal and external training on regulatory issues
  • Develop and present well-written reports, project plans, and other deliverables
  • Advising clients on various economic and legal risks in their given industry
  • Applying GAAP and GAAS consistently
  • Drafting potentially complex financial statements and disclosures
  • Documenting, validating, testing and assessing various control systems
  • Training and supervising Associates
  • Account for special projects, mergers, acquisitions, investments, disposals
  • Offer your support to the financial advisors in the administrative processing of loans and investments files
  • Supervising, developing and evaluating Audit Staff and Interns
Qualifications for financial services senior
  • Experience as a developer on a data warehouse implementation team
  • Perform activities to deliver an exceptional client experience to Core clients
  • Fulfill personal solutions identified through Financial Health Check conversations
  • Mentor employees
  • Accountable for accurately capturing and validating clients’ personal and financial information, ensuring all documentation is completed in accordance with CIBC policies and procedures
  • Demonstrated ability to operate effectively in a very fast moving, developing and constantly changing environment
4

Financial Services Senior Job Description

Job Description Example
Our growing company is looking for a financial services senior. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for financial services senior
  • Act as a customer focal point for financial tracking
  • Provide Monthly ROF and variance explanations, including current and out months for the current fiscal year analysis and variance explanations for changes from the previous period
  • Provide CSR coverage as required
  • Review client’s entities from an operations, accounting, IT and compliance perspective
  • Proficient in the review of a GAAP basis set of books and records
  • Review and reconcile intercompany activity, including intercompany payables, receivables, investments, and lease or other similar payments
  • Value Investment assets in accordance with ASU 820 and prepare or review related footnote disclosures
  • Have knowledge of and understand internal control deficiencies and be able to prepare appropriate client management letters
  • Understands risk assessment and administrative engagement processes and applies knowledge in completing all related forms
  • Review fund records from the clients in order to assemble trial balances, mappings to financial statements and footnotes, to review monthly or quarterly incentive fees, review related annual cash collections or allocations to limited utilizing OD CCH Engagement software
Qualifications for financial services senior
  • Experience in managing external partner relationship
  • Possess in-depth knowledge of China finance and leasing market
  • Experience in auto market and auto dealer management is a plus
  • Experience in communicating business requirements to IT team
  • Team player, able to work and collaborate with multiple functions across the organization to achieve company goals
  • Language skills of region targeted, plus good English
5

Financial Services Senior Job Description

Job Description Example
Our innovative and growing company is looking for a financial services senior. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for financial services senior
  • Maintain long-term business relationship with existing clients
  • Lead and manage a team of researchers, including job allocation, performance management and coaching
  • Manage research projects, and provide professional client servicing
  • Compose and present research proposals and solutions
  • Provide advanced research analysis and add-value insights and recommendations
  • Effectively manage the overall responsibility for all of the annual targets
  • Develop new accounts or sectors and business
  • Financial analysis for investments
  • Assist in framework implementation
  • Profitability, pricing, and cost optimization
Qualifications for financial services senior
  • Spanish preferred or company will sponsor classes to become fluent Spanish speaker
  • 3+ years of Public Accounting experience with a focus on the Financial Services industry
  • Having experience auditing SEC financial services clients is key for this role
  • This position requires you to meet the education requirement for CPA certification in Kentucky
  • Bilingualism an asset (spoken and written) - English and French
  • Having SEC public company experience would put you at an advantage over other candidates

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