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Audit Director - Broker-Dealer

  • Location

    New York, NY

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $230,000 USD

  • Contact:

    Jonathan Moran

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    6 months ago

  • Expiry date:


  • Startdate:


A leading global broker-dealer business is looking to hire an Audit Director within their New York City business. This is a leadership role in the organization which is being hired due to a recent period of growth in the business resulting in an expansion of the governance team as a whole.

The Audit Director will plan and oversee the execution of the internal audit plan which tests the controls around traded market risks. The business operates in the financial, metals, FX, agriculture and energy sectors and provides clearing, futures and swaps services.

The Audit Director will work closely with the Chief Auditor to establish the risk and control framework and manage a team of auditors in the delivery of the plan.

Key responsibilities:

  • Oversee the delivery of the global broker-dealer audit plan in line with the business’s audit methodology and internal audit standards.
  • Provide subject matter expertise on key risks and controls as they relate to broker-dealer activities with institutional client portfolios.
  • Support and enhance the quality of audit execution in the team, providing for the team’s -learning and development training.
  • Building and supporting stakeholder relationships in the business.
  • Contributing to relevant steering committees in the global business.

Candidate qualifications:

  • 12+ years’ experience in a capital markets/brokerage GRC function with direct internal audit experience.
  • Demonstrated management experience and a desire to take a strategic leadership position in an internal audit function.
  • A degree in a relevant subject area.

To apply, please share an up-to-date copy of your resume to j.moran@hamlynwilliams. For more information, please contact me directly via email or at 646-349-3225.

At this time, the business cannot support visa sponsorship for this position.