Process Improvement Auditor

National Financial Partners is a national network of independent financial advisors consisting of over 175 owned firms and more than 320 members, offering financial services to high net worth individuals and growing entrepreneurial companies.  Our firms specialize in life insurance and wealth transfer, corporate and executive benefits, and financial planning and investment advisory services.  NFP is a successful public company which trades on the New York Stock Exchange.

 

NFP offers a full range of comprehensive benefits, including medical, dental, healthcare and dependent care FSA, as well as a matching 401k program and discounted employee stock purchase plan.

 

 

SUMMARY:Provide support to the Director of Accounting Controls with the organization’s accounting functions and internal controls.  These functions include maintaining desktop procedures and other accounting internal controls documentation.  Assist in maintaining a system of monitoring and investigating internal accounting controls compliance and variances and underlying causes.  A degree of latitude and creativity is expected.  Exercises limited independent judgment, discretion and decision-making. Must establish and maintain good lines of communication with other Company personnel impacting Accounting operations.

 

ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily.

 

· Assist in maintaining and improving the system of accounting and internal controls and related processes and procedures.

· Assist in the evaluation of the effectiveness of internal controls and the recommendation of improvements to those controls.

· Assist in the design, development, and documentation of standardized policies and procedures in all key Company areas.

· Assist in performing audits and verifications of the Accounting and other departments.  Coordinate with other department personnel to assist the internal audit function in obtaining documentation; analyze business processes and implement control and process improvements and enhancements.

· Assist in maintaining changes to key Company policies and procedures and the publication of those documents.

· Work closely with other Company personnel on attaining information, source documentation, and resolving control related issues.

· Provide support to the Director of Accounting Controls with other matters, as necessary.

· Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.

 

KNOWLEDGE, SKILLS, AND/OR ABILITIES:

 

· Must be proficient in Excel, Word, and be able to adapt to/understand various accounting systems, including those of the clearing brokers. 

· Must have a thorough understanding of GAAP and its’ applications.

· Good communication, organization, and analytical skills are a must.

· Must be able to manage projects efficiently and effectively and meet set deadlines.

· Needs to be very detail oriented and be able to work at a fast pace.

· Knowledge of broker-dealer financial accounting and operations preferred.

 

EDUCATION AND/OR EXPERIENCE: 

 

· BBA with a major in Accounting or Finance preferred.

· Experience in financial services industry preferred.

· Big 4 Public Accounting experience in audit or consulting is also preferred.

 

CERTIFICATES, LICENSES, REGISTRATION: 

· CPA candidate or license preferred.

 

PHYSICAL DEMAND:  The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.  Ability to sit at a computer for long periods of time.

 

· Must be able to handle stressful situations well.

· Must be able to work over-time, when necessary.

· Must be able to sit for extended periods at a time.

 

WORKING CONDITIONS:  Climate controlled office environment.