Senior Internal Audit Manager

Job Description

Overview

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A global financial services organization is seeking an experienced audit professional to lead U.S. regulatory audit coverage across broker-dealer, futures commission merchant (FCM), and swap dealer businesses. This position offers a base salary of $120,000–$150,000 plus a discretionary bonus.

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The role will oversee the full audit lifecycle, develop risk-based coverage, and assess compliance with applicable regulatory requirements. This individual will work closely with senior stakeholders across business and control functions, communicate findings, and oversee remediation.

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The position also includes coaching audit staff, reviewing deliverables, and coordinating external audit support.

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Responsibilities

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• Lead regulatory audits across U.S. financial services entities.
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• Develop and maintain the annual regulatory audit plan.
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• Manage audit scoping, fieldwork, reporting, and remediation validation.
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• Review workpapers and reports for quality and supporting evidence.
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• Evaluate controls addressing capital, customer protection, AML, and supervision.
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• Update audit coverage based on regulatory changes and examination findings.
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• Maintain audit risk assessments and the regulatory audit universe.
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• Present findings and recommendations to senior leadership.
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• Partner with Compliance, Legal, Risk, Operations, and business stakeholders.
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• Coordinate with regulators, external auditors, and co-sourced providers.
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• Coach audit staff and support resource planning and development.
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Requirements

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• 7+ years of internal audit experience within complex financial services organizations.
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• Strong knowledge of U.S. broker-dealer, FCM, and swap dealer regulations.
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• Experience leading audits mandated by regulatory requirements.
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• Strong understanding of risk-based auditing and internal control frameworks.
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• Familiarity with commodities, derivatives, or cleared financial products.
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• Knowledge of relevant exchange and clearinghouse requirements.
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• Experience working across multiple regulated entities and jurisdictions.
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• Ability to communicate complex findings clearly to senior executives.
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• Strong stakeholder management and independent judgment.
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• Experience reviewing audit deliverables and developing team members.
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• Proficiency with technology and data analytics tools used in auditing.
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