Internal Audit Manager
$100k - $140kMadison-Davis, LLC
Overview
A global financial services organization is seeking an Internal Audit Manager to lead audit coverage across complex capital markets and regulated financial services activities. This is a senior-level opportunity for an audit professional with 5+ years of relevant experience at the AVP level or above , ideally gained within a bank, broker-dealer, swap dealer, fintech, Big 8 firm, or Protiviti.
The ideal candidate will have direct audit experience with financial markets products , with particular value placed on commodities, equities, swaps, derivatives, futures, securities, and broking activities . The position requires someone who understands regulated capital markets environments and can independently lead audits while influencing senior stakeholders.
The role offers a $100,000–$140,000 base salary plus discretionary bonus and will contribute to strategic audit planning, risk assessments, audit execution, issue escalation, control improvement, and development of the broader Internal Audit function.
Responsibilities
- Lead Internal Audit engagements across capital markets, trading, broking, and related financial services activities.
- Audit complex financial markets products, including commodities, equities, swaps, derivatives, futures, and securities.
- Manage the complete audit lifecycle from risk assessment and planning through testing, reporting, and issue validation.
- Develop audit strategies, procedures, methodologies, and risk-based testing approaches.
- Evaluate governance, risk management, internal controls, and regulatory compliance.
- Perform integrated audits spanning technology, business processes, financial systems, and operational controls.
- Conduct standalone operational and business process audits within regulated environments.
- Partner with senior stakeholders to communicate findings, influence remediation, and strengthen controls.
- Assess emerging risks across financial markets and incorporate changing business activities into audit coverage.
- Supervise and develop audit professionals and coordinate with co-sourced audit resources.
- Support strategic and annual audit planning and broader Internal Audit initiatives.
- Escalate significant risks and control issues while maintaining clear, independent audit conclusions
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