Internal Audit Manager

Apollo Solutions · Chicago, Illinois

FULL TIME

Job Description

Internal Audit Manager – Financial Services

Chicago, USA

You’ll lead complex audits end-to-end, work closely with senior stakeholders and help shape regulatory audit coverage across the business.

Responsibilities

Lead the US regulatory audit programme across broker-dealer, FCM and swap dealer entities

Manage audits end-to-end, from scoping and fieldwork through to reporting, issue validation and remediation tracking

Develop and maintain the annual regulatory audit plan and risk assessments

Review audit workpapers, findings and reports, ensuring a high standard of audit quality

Assess control weaknesses and provide independent challenge to the business

Monitor regulatory developments and incorporate emerging risks and examination findings into audit coverage

Partner with senior stakeholders across Compliance, Legal, Risk, Operations and the wider business

Present audit findings and key insights to senior management

Coach and develop members of the audit team and oversee co-sourced resources

Requirements

7+ years’ Internal Audit experience within a complex financial services environment

Strong knowledge of US financial services regulation, particularly across broker-dealers, FCMs and/or swap dealers

Proven experience leading regulatory-focused audits

Strong understanding of risk-based audit methodologies and internal control frameworks

Experience working with senior stakeholders across a regulated business

Exposure to commodities, derivatives, cleared products or wider capital markets would be highly advantageous

Excellent report writing and communication skills, with the ability to present complex issues clearly to senior audiences

There are two levels available for this position. We are also considering strong auditors with 3+ years of experience within financial services.

For more information, reach out directly: ruhee.saleh@apollo-solutions.com

Company	Apollo Solutions
Location	Chicago, Illinois
Type	FULL TIME
Niche	Accountants

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