Job Description

Principal Audit Manager – Chicago

A leading global financial services organisation is seeking an experienced Principal Audit Manager to join its North American Internal Audit team.

This senior role will lead the U.S. regulatory audit programme across broker-dealer, futures commission merchant and swap dealer entities. The successful candidate will manage audits end-to-end, provide independent challenge to the business, and engage with senior stakeholders across Compliance, Legal, Risk, Operations and business leadership.

Key responsibilities

• Lead the U.S. regulatory audit programme and annual audit plan.
• Manage audits from scoping and fieldwork through reporting, issue validation and remediation tracking.
• Review and approve audit workpapers, findings and reports.
• Assess control weaknesses and provide independent audit conclusions.
• Monitor regulatory developments and update audit coverage accordingly.
• Ensure appropriate coverage of capital, customer protection, AML and supervisory controls.
• Present audit findings and recommendations to senior management.
• Maintain the U.S. regulatory audit universe and risk assessments.
• Coordinate with regulators, external auditors and co-sourced providers.
• Coach and develop audit team members.
• Promote high standards of audit quality, accountability and continuous improvement.

Candidate profile

• At least seven years of internal audit experience within a complex financial services organisation.
• Strong knowledge of U.S. financial services regulations applicable to broker-dealers, FCMs and swap dealers.
• Proven experience delivering regulatory-required audits.
• Strong understanding of risk-based audit methodologies and internal control frameworks.
• Excellent report-writing and communication skills.
• Experience engaging with senior and executive stakeholders.
• Knowledge of commodities, derivatives, cleared products, exchange or clearing-house requirements.
• Experience working within a global organisation with multiple regulated entities.
• Proficiency in information technology and audit data analytics tools.

Location: Chicago, Illinois

Function: Internal Audit / Financial Services Regulation

If you have extensive regulatory audit experience and the ability to influence stakeholders across a complex financial services environment, this could be an excellent opportunity to make a significant impact.

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