Internal Audit Manager
Internal Audit Manager
Location: New York, NY
We are currently partnered with a leading financial services firm in New York that is looking to build out its Internal Audit team by bringing on an Audit Manager. Ideal candidates have 8 + years of experience in internal audit within the financial services industry, and have experience covering brokerage activities, with a strong understanding of FINRA, SEC, and other relevant regulations. In this position, the Audit Manager will be responsible for planning and conducting multiple, concurrent, internal audits under the general direction of the Head of Internal Audit and in compliance with audit standards, schedules and regulatory expectations.
Responsibilities:
- Lead and execute multiple internal audits in alignment with regulatory standards and the annual audit plan.
- Monitor audit progress and ensure deliverables meet quality and timeline expectations.
- Analyze business unit operations to identify control gaps and assess risk exposure.
- Prepare audit documentation including planning materials, control testing, and draft reports.
- Communicate significant findings to audit leadership and collaborate on remediation strategies.
- Support SOX and Custody Rule compliance through control reviews and testing.
- Stay current on audit practices, industry trends, and regulatory developments.
Requirements:
- Bachelor's degree in Accounting, Finance, or related field; CPA or CIA, preferred.
- 8+ years of internal audit experience, with at least 4 years in a financial services or brokerage environment.
- Strong knowledge of FINRA, SEC, and other relevant regulatory frameworks.
- Experience with trading platforms, clearing processes, and investment products.
- Excellent analytical, communication, and report-writing skills.
- Ability to manage multiple priorities and work independently in a fast-paced environment.
- Proficiency in audit software and Microsoft Office Suite; experience with data analytics tools is a plus.
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