Senior Manager, Internal Audit

Senior Internal Audit Manager

Role Summary

The Senior Internal Audit Manager will partner closely with Internal Audit leadership to assess, monitor, and evaluate the effectiveness of internal controls, governance processes, and risk management frameworks across capital markets, investment banking, and related financial services operations.

This role is responsible for leading and executing risk-based audits covering business, regulatory, compliance, financial, and operational activities in accordance with the Internal Audit Plan. The successful candidate will also contribute to annual enterprise risk assessments, drive departmental initiatives and special projects, and provide independent assurance regarding the adequacy and effectiveness of key controls.

The Senior Internal Audit Manager will develop and review detailed audit programs, perform risk assessments and testing activities, document observations, and collaborate with business leaders and stakeholders to validate findings and establish practical remediation plans. The role requires the ability to communicate complex risks clearly through concise and impactful audit reports that summarize audit scope, identified risks, findings, recommendations, and issue status.

This position operates within a global Internal Audit environment and may support audits across a diverse portfolio of financial services businesses, including capital markets, investment banking, brokerage, trading, financial technology, asset management, and other regulated financial operations.

Major Responsibilities

• Support the Internal Audit function in providing senior management and the Board with independent assessments of the effectiveness of governance, risk management, and internal control processes.
• Plan, lead, and execute risk-based audits, including process walkthroughs, control design assessments, documentation reviews, and testing of control effectiveness.
• Analyze data and validate audit results to ensure accuracy and alignment with audit objectives.
• Lead and supervise project teams, providing direction, coaching, and quality review throughout the audit lifecycle.
• Collaborate with business stakeholders to validate audit observations and develop practical corrective action plans.
• Prepare and review comprehensive audit reports and related deliverables.
• Ensure audit engagements are completed on schedule and in accordance with professional standards and departmental expectations.
• Provide regular updates to Internal Audit leadership regarding audit progress, key risks, and deliverables.
• Build and maintain effective working relationships with business partners and audit clients across the organization.
• Lead or support special projects, investigations, regulatory reviews, and departmental initiatives as required.
• Monitor and validate the completion of agreed audit actions and remediation efforts.

Key Stakeholder Relationships

• Establish and maintain strong relationships with business leaders and key stakeholders across the organization.
• Partner with Front Office, Compliance, Financial Crime, Risk Management, Operations, Finance, and other control functions to ensure a comprehensive understanding of risks, controls, and auditscope.
• Collaborate closely with Internal Audit leadership and global audit teams to support the execution of the audit plan and strategic initiatives.
• Engage with senior management to communicate audit observations, recommendations, and remediation expectations.

Required Skills & Qualifications

• Minimum of 7 years of experience conducting regulatory, compliance, financial, and/or operational audits within the financial services industry.
• Strong understanding of internal controls, risk management frameworks, and audit methodologies.
• Demonstrated knowledge of capital markets, investment banking, trading environments, or related financial services businesses.
• Exceptional analytical, investigative, and problem-solving abilities.
• Strong project management and organizational skills with experience leading small to mid-sized audit teams.
• Excellent verbal and written communication skills, including the ability to present findings to senior management.
• Experience building effective relationships and influencing stakeholders at various levels of the organization.
• Ability to independently lead meetings, conduct interviews, and drive discussions to achieve audit objectives.
• Receptive to feedback with a commitment to continuous improvement and professional development.
• Experience utilizing audit management systems, GRC platforms, and automated audit workpaper solutions.

Education & Experience

• Bachelor's degree in Accounting, Finance, Business Administration, or a related field preferred.
• Professional certifications such as CPA, CIA, CAMS, CISA, or equivalent are preferred.
• Advanced degree (MBA, Master's in Finance, Accounting, or related discipline) is a plus.
• Minimum of 7 years of Internal Audit experience within financial services, banking, capital markets, investment banking, brokerage, or related regulated environments.
• Experience in Internal Audit, Compliance, Risk Management, Regulatory Affairs, or consulting functions preferred.