ABOUT THE ROLEA global financial services organization is seeking an experienced audit professional to lead U.S. Regulatory audit coverage across broker-dealer, futures commission merchant (FCM), and swap dealer businesses. This position offers a base salary of $120, 000 $150, 000 plus a discretionary bonus.
The role will oversee the full audit lifecycle, develop risk-based coverage, and assess compliance with applicable regulatory requirements. This individual will work closely with senior stakeholders across business and control functions, communicate findings, and oversee remediation.
The position also includes coaching audit staff, reviewing deliverables, and coordinating external audit support.
RESPONSIBILITIES- Lead regulatory audits across U.S. Financial services entities.
- Develop and maintain the annual regulatory audit plan.
- Manage audit scoping, fieldwork, reporting, and remediation validation.
- Review workpapers and reports for quality and supporting evidence.
- Evaluate controls addressing capital, customer protection, AML, and supervision.
- Update audit coverage based on regulatory changes and examination findings.
- Maintain audit risk assessments and the regulatory audit universe.
- Present findings and recommendations to senior leadership.
- Partner with Compliance, Legal, Risk, Operations, and business stakeholders.
- Coordinate with regulators, external auditors, and co-sourced providers.
- Coach audit staff and support resource planning and development.
QUALIFICATIONS- 7+ years of internal audit experience within complex financial services organizations.
- Strong knowledge of U.S. Broker-dealer, FCM, and swap dealer regulations.
- Experience leading audits mandated by regulatory requirements.
- Strong understanding of risk-based auditing and internal control frameworks.
- Familiarity with commodities, derivatives, or cleared financial products.
- Knowledge of relevant exchange and clearinghouse requirements.
- Experience working across multiple regulated entities and jurisdictions.
- Ability to communicate complex findings clearly to senior executives.
- Strong stakeholder management and independent judgment.
- Experience reviewing audit deliverables and developing team members.
- Proficiency with technology and data analytics tools used in auditing.