Job Description
Internal Audit Manager – Financial Services
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Chicago, USA
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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.
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Responsibilities:
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- 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
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Requirements:
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- 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
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For more information, reach out directly: ruhee.saleh@apollo-solutions.com