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The Financial and Regulatory Surveillance Department Auditor monitors the capital requirements of clearing members based on the risk associated with each clearing member's positions as well as an assessment of each clearing member's internal controls, risk-management policies, and back-office operations. The Auditor participates in financial and compliance examinations and reviews financial statements of clearing member firms to ensure they are in compliance with CME & other regulatory organization rules and regulations.
The Financial and Regulatory Surveillance Department has primary regulatory responsibility for more than 95 percent of CME, CBOT, NYMEX, and COMEX clearing members through CME Group's four self-regulatory organizations. Principal Accountabilities:
- Responsible for assigned components of the regulatory financial and compliance examination, working from Joint Audit Committee approved programs, including bank statement, safekeeping, carrying broker, clearing organization and equity system analysis.
- Perform detailed examination testing and documentation of assigned areas.
- Identify examination issues and problems, document findings in a clear and concise manner and communicate findings and recommendations to the clearing member firm.
- Learn firm's reconciliation process, understand equity system documents, analyze third party documents.
- Maintain the audit trail and ensure it is logical and organized. Follow the examination process from beginning to end.
- Review monthly, bi-weekly and daily financial statements. Discuss issues and balance fluctuations with the clearing member firm and document findings.
- Bachelor of Science in Accounting or Masters in Accountancy
- 0-3 years professional experience
- Strong oral and written communication skills
- Strong decision-making abilities
- Professional skepticism
- CPA preferred, not required.
- CFE preferred, not required.
- Word, Excel, Outlook, Workday
- When applying for the Staff Auditor position, please attach a resume and unofficial transcript