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.