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Senior Audit Manager

  • Location

    New York, NY

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Jonathan Moran

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Ref: 95357

  • Published:

    about 2 months ago

  • Expiry date:


  • Startdate:


A leading global broker-dealer business is looking to hire a Senior Audit Manager within their North America business. Reporting to the Chief Audit Executive, the role is being hired due to a period of growth in the business this year.

The Senior Audit Manager will oversee a team of four to deliver the broker-dealer audit plan which includes audits of sales & trading desks, currencies, commodities, equities and fixed income. There is also an electronic trading component to the business which will be audited under this team.

The successful candidate will assist the CAE in developing the annual internal audit plan and work closely with business stakeholders to establish the risk assessment exercise.

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 including: currencies/FX, commodities, equities and fixed income.
  • 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:

  • 10+ 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.