Audit Manager - Securities and Trading
Location: NYC or Tampa
Compensation: 140-160k base
I am currently working with a Top International Bank that is looking to grow out its internal audit function by adding a manager covering their securities and trading function.
Ideal candidates have 7+ years of experience in Internal Audit and are familiar conducting audits in relation to trading activities, fixed income, capital markets, and investment banking.
Additionally, given that this person will be acting as an Audit Lead on a variety of projects, the team is looking for someone who has experience being an AIC and supervising more junior staff. In this role, you will be planning and scoping the audit plan, leading concurrent and cross-functional audit engagements with minimal supervision, and accurately reporting control gaps and deficiencies, and aiding in the development of the remediation plan.
Responsibilities:
- Act as an AIC, managing audit engagements from start to finish
- Analyze and report control deficiencies and develop plans for remediation
- Planning and scoping numerous overlapping audits
- Communicating closely with senior management and key stakeholders to discuss proposals for solutions and ensuring adequate follow-up plans are established
Requirements:
- 7+ years in Internal Audit, experience conducting audits in relation to trading activities
- Bachelor's degree in finance, business, or another related field
- Knowledge of Broker Dealer Regulations
- Strong ability working independently
- Excellent written and verbal communication skills
- Relevant certification preferred (CPA or CIA)