Brandon Barbosa

Audit Senior Manager @Crowe

New York, NY, US

During my career, I have focused on providing audit and examination services, in accordance with PCAOB and AICPA standards, and advisory services to financial institutions including introducing/exempt and self-clearing/carrying broker-dealers, registered investment advisors, asset management firms, banks and holding companies (publicly traded and private). I developed and published the controls examination methodology for Crowe’s self-clearing broker-dealer examination practice in accordance with 17a-5 and Attestation Standard No. I have lead and aided in internal audit controls and accounting consulting work for broker-dealers. I have produced and instructed CPE credit-worthy trainings within our broker-dealer practice. I have regularly participated in and led annual PCAOB inspections of broker-dealer audit work performed. I have led resource management for the entire broker-dealer practice including resource allocation, coordination, and scheduling for the practice.Other areas of expertise include- Broker-Dealer Rule 17a-5 Compliance including compliance with SEA Rules 15c3-1, 15c3-3, 17a-13 and FINRA 2231- Examinations under SEC Rule 206(4)-2- Revenue Recognition and Lease Standards (ASC606 and ASC842)- Implementation and facilitation of internal controls- Audits of privately owned financial institutions- Internal audit assistance

The College of New Jersey

Bachelor’s Degree, Major in Accounting, Minor in Finance

St. Joseph High School

High School