Internal Audit Manager

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