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Audit Team Lead - Capital Markets

  • Location

    Greater New York City Area

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    Up to $200K Base + Bonus

  • Contact:

    Vickie Chan

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    11 months ago

  • Expiry date:


  • Startdate:


We are recruiting an Internal Audit Team Lead for a major U.S. bank in New York City, to focus on Equities Trading audits for North America.

This role has come up recently in light of a recent promotion, and is a backfill for the hiring manager of the group who, upon a year within joining, has swiftly been promoted. You will be responsible for managing a team of 8 direct reports, as well as driving the team's coverage over such areas as Equities and Securities Services, Futures, Global Funds Services, Custody and Clearing.

You will play a key role in the development and training of more junior staff, and work closely with the Group Head to manage stakeholder relationships in Front Office as well as the regulators (FRB, OCC). 

Successful candidates will possess:

  • 10+ years' internal audit experience, ideally gained in the capital markets business of a complex and highly regulated financial services institution or similar firm
  • Knowledge of capital markets / investment banking products such as Equities, E-Trading, Fixed Income, Futures, Derivatives, FX, etc.
  • Strong appreciation for 'front-to-back' processes and controls, in addition to past experience working with other cross-functional audit teams and stakeholders
  • Track record of managing more junior staff members, and driving a culture of merit-based progression
  • Relevant certifications such as CPA, CIA and/or CFA

This is an excellent opportunity for those audit professionals looking to take the next step up in their careers with a premier organization, where you will be challenged and pushed to the next level.

To register your interest please submit your resume to Vickie Chan via the below link, or contact her at