AVP, Audit Manager- Financial Services

AVP, Audit Manager – Financial Services New York, NY | Hybrid Brewer Morris is partnering with a global, publicly traded financial markets organization to appoint an Internal Audit Manager to its New York team. This is a hands-on audit role within a complex capital markets environment . We’re looking for someone who can personally run an audit end-to-end, from initial risk assessment and scoping through fieldwork, testing, findings, reporting and remediation. You’ll work across businesses spanning broker-dealer, securities, futures/options, commodities, clearing and derivatives activity. This opportunity offers the combination of hands-on audit ownership, exposure to complex financial markets and direct interaction with senior stakeholders within a global audit function. What you’ll own Plan and execute risk-based internal audits from start to finish , including scoping, walkthroughs, testing, findings and final reporting. Perform audits across capital markets, trading, clearing and regulated financial-services businesses . Conduct risk assessments across financial, operational, regulatory and technology-related risks. Lead integrated reviews combining business-process controls and IT general controls (ITGCs) . Evaluate governance, risk management and the internal-control environment and identify opportunities for improvement. Work directly with senior business leaders and control owners to communicate findings and drive remediation. Contribute to the firm’s annual and multi-year risk-based Internal Audit plan . Assess activities operating within SEC, FINRA, CFTC and NFA regulatory frameworks. Work with co-source partners where appropriate and contribute to the continued development of audit methodology and tools. What we’re looking for 5+ years of audit experience within financial services, gained through Internal Audit, Big Four/public accounting, or a combination of both. Strong exposure to capital markets or trading-related businesses . Experience auditing a broker-dealer, swap dealer, FCM/futures business, securities firm, clearing organization, commodities platform or comparable financial institution is highly relevant. Demonstrated experience personally executing audits through the full audit lifecycle . Big Four candidates are encouraged where they have meaningful financial-services clients and can demonstrate hands-on ownership of complex audits. Familiarity with AuditBoard, TeamMate or comparable GRC/audit platforms is beneficial. Bachelor’s degree required. CPA, CIA, Series 3 or Swaps Proficiency certification is helpful.