Principal Audit Manager

A financial services organization is seeking a Principal Audit Manager – Regulatory Audits to lead regulatory-required internal audits across its US-regulated entities. This role will focus on broker-dealer, swap dealer, and futures commission merchant (FCM) operations, with an emphasis on regulatory compliance, risk management programs, and audits required to maintain regulatory obligations.

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This is a senior, hands-on individual contributor role with ownership of the audit process from planning and scoping through fieldwork, reporting, and issue follow-up. The successful candidate will independently lead audit assignments, work closely with business and compliance stakeholders, and provide guidance to an Associate Auditor. The position is suited to an experienced regulatory audit professional who can operate with limited oversight and deliver high-quality work.

Responsibilities

• Lead annual regulatory-required audits across US-regulated financial services entities.
• Plan, scope, and execute audits covering broker-dealer, swap dealer, and FCM operations.
• Assess regulatory compliance and the design and effectiveness of risk management programs.
• Conduct audit fieldwork, testing, documentation, and evaluation of internal controls.
• Identify control gaps, assess risks, and develop clear, actionable audit findings.
• Prepare audit reports and communicate results to stakeholders and senior management.
• Monitor management action plans and validate remediation of audit issues.
• Independently manage audit assignments while escalating significant matters when appropriate.
• Coach and review the work of an Associate Auditor. xhyhwjd
• Maintain working knowledge of applicable SEC, FINRA, CFTC, and NFA requirements.