Internal Audit Manager

Internal Audit Manager – Financial Services

Chicago, USA

You’ll lead complex audits end-to-end, work closely with senior stakeholders and help shape regulatory audit coverage across the business.

Responsibilities:

• Lead the US regulatory audit programme across broker-dealer, FCM and swap dealer entities
• Manage audits end-to-end, from scoping and fieldwork through to reporting, issue validation and remediation tracking
• Develop and maintain the annual regulatory audit plan and risk assessments
• Review audit workpapers, findings and reports, ensuring a high standard of audit quality
• Assess control weaknesses and provide independent challenge to the business
• Monitor regulatory developments and incorporate emerging risks and examination findings into audit coverage
• Partner with senior stakeholders across Compliance, Legal, Risk, Operations and the wider business
• Present audit findings and key insights to senior management
• Coach and develop members of the audit team and oversee co-sourced resources

Requirements:

• 7+ years’ Internal Audit experience within a complex financial services environment
• Strong knowledge of US financial services regulation, particularly across broker-dealers, FCMs and/or swap dealers
• Proven experience leading regulatory-focused audits
• Strong understanding of risk-based audit methodologies and internal control frameworks
• Experience working with senior stakeholders across a regulated business
• Exposure to commodities, derivatives, cleared products or wider capital markets would be highly advantageous
• Excellent report writing and communication skills, with the ability to present complex issues clearly to senior audiences

There are two levels available for this position. We are also considering strong auditors with 3+ years of experience within financial services.