Internal Audit Manager – Financial Services

Chicago, USA

This is a senior role within the US Internal Audit team, taking ownership of the US regulatory audit programme across multiple regulated entities. 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

For more information, reach out directly: ruhee.saleh@apollo-solutions.com