AVP, Audit Manager- Financial Services

AVP, Audit Manager – Financial ServicesNew York, NY | Hybrid

Are you the right candidate for this opportunity Make sure to read the full description below.
Brewer Morris is partnering with a global, publicly traded financial markets organization to appoint an Internal Audit Manager to its New York team.This is a hands-on audit role within a complex capital markets environment. We’re looking for someone who can personally run an audit end-to-end, from initial risk assessment and scoping through fieldwork, testing, findings, reporting and remediation.You’ll work across businesses spanning broker-dealer, securities, futures/options, commodities, clearing and derivatives activity. This opportunity offers the combination of hands-on audit ownership, exposure to complex financial markets and direct interaction with senior stakeholders within a global audit function.
What you’ll ownPlan and execute risk-based internal audits from start to finish, including scoping, walkthroughs, testing, findings and final reporting.Perform audits across capital markets, trading, clearing and regulated financial-services businesses.Conduct risk assessments across financial, operational, regulatory and technology-related risks.Lead integrated reviews combining business-process controls and IT general controls (ITGCs).Evaluate governance, risk management and the internal-control environment and identify opportunities for improvement.Work directly with senior business leaders and control owners to communicate findings and drive remediation.Contribute to the firm’s annual and multi-year risk-based Internal Audit plan.Assess activities operating within SEC, FINRA, CFTC and NFA regulatory frameworks.Work with co-source partners where appropriate and contribute to the continued development of audit methodology and tools.
What we’re looking for5+ years of audit experience within financial services, gained through Internal Audit, Big Four/public accounting, or a combination of both.Strong exposure to capital markets or trading-related businesses.Experience auditing a broker-dealer, swap dealer, FCM/futures business, securities firm, clearing organization, commodities platform or comparable financial institution is highly relevant.Demonstrated experience personally executing audits through the full audit lifecycle.Big Four candidates are encouraged where they have meaningful financial-services clients and can demonstrate hands-on ownership of complex audits.Familiarity with AuditBoard, TeamMate or comparable GRC/audit platforms is beneficial.Bachelor’s degree required. xzbcwsv CPA, CIA, Series 3 or Swaps Proficiency certification is helpful.