Senior Audit Project Manager – Capital Markets

Role Overview

• Develop and maintain a risk-based audit plan for Capital Markets and broker-dealer activities.
• Independently plan, scope, and lead end-to-end audit engagements, including planning, fieldwork, issue identification, and reporting.
• Evaluate the design and operating effectiveness of controls across business processes, systems, and activities.
• Review audit workpapers to ensure quality, accuracy, and adherence to CAS policies and IIA Standards.
• Draft clear, concise audit reports that effectively communicate risks, issues, and recommendations.
• Build and maintain strong relationships with business line leadership, risk, compliance, and other assurance functions.
• Provide credible challenge on risk identification, control design, and control effectiveness.
• Communicate audit results, themes, and insights to senior management and governance forums.
• Supervise and coordinate engagement resources, including internal staff and co-sourced teams.

Requirements

• Bachelor’s degree or advanced degree, or equivalent relevant work experience.
• Typically more than 8 years of experience in audit, risk management, compliance, or related financial services functions
• Strong audit experience covering trading-related activities, including institutional equities trading, electronic and systematic trading models, outsourced trading, prime brokerage, and capital markets products, with exposure to associated risk, compliance, and control frameworks across U.S., U.K., and Asia
• Subject matter expertise in multi-product capital markets and broker-dealer audit domain, including front-to-back business and operating models (sales and trading, risk and control functions, clearing and settlement), supporting technology platforms, and global operating structures
• Demonstrated ability to independently execute audit engagements and manage multiple complex priorities
• Strong knowledge of audit, risk, and compliance frameworks, including IIA Standards and internal control principles
• Advanced analytical, critical thinking, and problem-solving skills, with the ability to assess complex products, processes, and risks
• Strong business acumen and ability to build credibility with business line and control partners
• Excellent written and verbal communication skills, including the ability to effectively engage senior stakeholders
• Proven ability to manage and deliver complex initiatives (e.g., integrations, system changes, regulatory remediation)
• Professional certifications preferred (e.g., CIA, CPA, CISA)

Benefits

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from two to five weeks depending on salary grade and tenure)
• Up to 11 paid holiday opportunities
• Adoption assistance
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law