Internal Audit Manager - Capital Markets

Overview

Join a well-established global financial institution with a growing U.S. presence. This firm is recognized for its strong risk management culture, collaborative environment, and commitment to employee development. The organization offers a dynamic platform across capital markets, asset management, and specialty finance — giving professionals the opportunity to make a real impact while advancing their careers.

The Internal Audit Manager will sit within the Capital Markets and Investment Management Audit group. This team provides independent assurance across critical functions, covering trading and investment activities front-to-back, second-line risk oversight (market, counterparty, model, and liquidity risk), regulatory compliance, and broader finance functions.

Responsibilities:

• Participate in planning and execution of internal audits of the capital markets division, including trading, sales, and risk management functions.
• Understand the capital market activities and associated control framework, adopt risk-based approach to determine the audit scope, and define testing program.
• Conduct detailed audit testing and analysis to evaluate the design and effectiveness of internal controls, compliance with regulatory requirements, and adherence to company policies.
• Identify potential risks, control deficiencies, root causes, and develop practical and value-added recommendations for improvement.
• Prepare clear and concise audit reports, documenting findings and recommendations.
• Effectively communicate with auditees and audit team, develop good relationships, and timely escalate when there is an issue.
• Monitor and track the implementation of audit recommendations and follow up on outstanding issues.
• Participate or lead periodic continuous monitoring meetings and annual risk assessments.
• Participate in department-wide transformation projects, actively contribute to the changes, and demonstrate readiness and willingness to apply the changes.

Qualifications:

• Bachelor’s degree in business, Accounting, Finance, Economics or in a quantitative field such as Engineering or Mathematics.
• 5 years of work experience in financial services, internal audit, external audit, or relevant risk management positions.
• Understanding of capital markets, Equities and Equity Derivatives and Fixed Income and Currencies products, and front to back trading operations.
• Knowledge of general control and risk management framework, including market risk, counterparty credit risk, operational risk, etc.
• Familiarity with rules and regulations applicable to capital markets businesses.
• Knowledge of Institute of Internal Auditors (IIA) standards and practices.
• Holding or desire to pursue a relevant certification (CIA, FRM, CFA).