Audit Manager - Global Markets Equities

Job Title: Audit Manager Global Markets Equities
Location: Hybrid New York NY US
Employment Type: Permanent

We are seeking an experienced Audit Manager to join our Global Markets Audit team focusing on Equities Futures Options and Research. The ideal candidate will lead audits serve as an AuditorinCharge (AIC) and execute the audit strategy for lines of business involving cash equities derivatives prime brokerage and structured equity financing products. The successful candidate will demonstrate a deep understanding of US equity market regulations trading strategies risk management and operational processes with a passion for driving continuous improvements.

• Develop and execute audit strategies focusing on riskbased auditing while defining scope test procedures and drafting highquality audit reports.
• Serve as AuditorinCharge (AIC) ensuring timely of audit testing in alignment with audit policies and quality standards.
• Assess the impact of business processes controls and strategies assigning severity ratings and escalating key themes or trends.
• Lead a team of associates providing daytoday mentoring and fostering an inclusive work environment.
• Maintain strong relationships with business partners and line management leveraging business knowledge to challenge and improve the control environment.
• Utilize knowledge of trading and hedging strategies supervisory procedures P&L attribution and regulatory frameworks to effectively challenge management.
• Validate audit findings and support the preparation of regulatory exams ensuring timely responses to inquiries and creation of presentation materials.
• Use data analytics tools such as SQL Alteryx and Excel to enhance audit planning and .
• Communicate findings effectively through written reports and verbal presentations influencing management to implement improvements.

• Minimum 6 years of audit experience in capital markets including equity and equitylinked products derivatives front office risk management laws and regulations banking regulations and internal policies.
• At least 2 years of experience in a lead audit role or performing as AuditorinCharge.
• CFA designation is required.

• Bachelors or Masters Degree in Business Economics Finance or other quantitative fields.
• Relevant certifications such as FRM CIA or securities licenses.
• Intermediate analytical and automation skills (SQL Alteryx Advanced Excel Access).
• Experience in a large global financial institution preferably a bank or large brokerage firm.

• Analytical Thinking
• Audit Planning
• Internal Audit Review
• Issue Management
• Risk Management
• Business Acumen
• Coaching & Mentoring
• Project Management
• Relationship Building
• Critical Thinking
• Attention to Detail
• Automation and Technical Documentation