Internal Audit Manager

Internal Audit Manager

The Internal Audit Manager is a part of the Audit team and provides advice and influences change at a senior level to improve Marex corporate governance, risk management practice, and internal control environment.

Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.

The Audit team is a global function with presence in London and North America. The team consists of 22 individuals (i.e. 13 in London, 3 in Chicago, 3 in New York, 2 in Paris, and 1 in APAC), with additional support sought from our co-source partners as required.

Provide independent assurance and strategic insight to the Board and senior management on the effectiveness of governance, risk management, internal controls, and the overall control environment.

Lead and oversee Internal Audit activities across North America, ensuring high-quality audit execution, effective team leadership, and adherence to professional standards.

Develop and deliver the three-year strategic audit plan and annual audit program, ensuring appropriate coverage of key business, operational, financial, and regulatory risks.

Partner with and influence senior stakeholders to strengthen risk mitigation, improve control effectiveness, and support business objectives and corporate priorities.

Enhance the Internal Audit function through the development of audit methodologies, standards, procedures, quality assurance practices, and technology-enabled audit solutions.

Provide audit, advisory, and consulting services that add value to the organization, while promoting confidence in the Marex control environment, business operations, and brand.

Support enterprise risk management by contributing to risk assessment processes, evaluating assurance activities, monitoring emerging risks, and ensuring timely escalation of control and risk issues.

Ensure compliance with applicable regulatory requirements, internal policies, operational risk standards, and the Code of Conduct, including adherence to SEC, FINRA, NFA, CFTC, and exchange regulations. The Company may require you to carry out other duties from time to time.

Competencies:

• Excellent verbal and written communication skills
• A collaborative team player, approachable, self-efficient and influences a positive work environment
• Demonstrates curiosity
• Resilient in a challenging, fast-paced environment
• Ability to take a high level of responsibility in a fast pace and high-volume environment
• Escalates key issues and changing priorities to Senior Internal Audit Management as appropriate
• Excels at building relationships, networking and influencing others
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

Skills and Experience:

• A bachelor's degree from an accredited institution
• CPA, Part CPA, or other relevant professional qualification preferred
• Series 3 or Swaps Proficiency certification preferred
• 7-10 years of audit experience within complex financial services organizations, including exposure to broking, commodities, securities, and swap dealer activities
• Strong internal audit experience with a solid understanding of financial markets
• Experience within Internal Audit and/or Compliance functions
• Knowledge of financial markets and related products, with futures market experience highly desirable
• Experience operating within regulated environments and applying risk and compliance requirements
• Demonstrated ability to manage senior stakeholder relationships and influence change
• Proven experience leading audits across the full audit lifecycle and supervising audit team members
• Experience developing and implementing audit strategies, policies, procedures, and methodologies
• Strong knowledge of internal audit standards, principles, and best practices within financial services
• Proficiency in information technology and the use of audit-related systems and tools
• Experience conducting risk assessments and audits of complex financial systems and controls
• Experience performing integrated audits involving both technology and business processes, as well as standalone operational audits

Salary Range: $100,000 to $140,000 per year and eligible for discretionary bonus.

Company Values:

Acting as a role model for the values of the Company:

Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.

Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.

Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.

Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers.

Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.

Conduct Rules:

• Act with integrity
• Act with due skill, care and diligence
• Be open and cooperative with the FCA, the PRA and other regulators (where applicable)
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct

Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.

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