Audit Manager – Global Markets Electronic Trading - Executive Placement Network

Audit Manager – Global Markets Electronic Trading
Location: Hybrid, New York, NY
Salary Range: $110,000–$140,000/year (based on experience)
Additional Compensation: Annual performance incentives and merit-based reviews
Experience Required: 6–7+ years

Executive Placement Network (EPN) is assisting our client in filling this position. For more opportunities, visit EPN Open Jobs.

Position Overview

A leading global financial institution is seeking an Audit Manager to support their Market Conduct Risk and Electronic Trading function. This role involves overseeing assigned audit areas, serving as an Auditor-in-Charge (AIC), and executing risk-based audits for Lines of Business (LOBs). The successful candidate will leverage their expertise in electronic trading systems and audit methodologies to identify risks and provide actionable recommendations, all while fostering a collaborative and inclusive team environment.

Key Responsibilities

• Execute audit strategies by defining scope, developing audit programs, and conducting testing in alignment with audit policies.
• Serve as Auditor-in-Charge (AIC), overseeing audit testing and ensuring conformance with quality standards and deadlines.
• Assess business processes, controls, and risks, providing severity ratings and escalating broad themes or trends when necessary.
• Document findings in high-quality audit reports and communicate results to business leaders.
• Mentor team members and foster an inclusive and collaborative work culture.
• Leverage expertise in Global Markets Electronic Trading, including Direct Market Access (DMA), algorithmic trading strategies, and sponsored access, to identify and mitigate risks.
• Utilize advanced analytical skills and automation tools to improve audit efficiency and effectiveness.
• Build and maintain relationships with business partners and senior management to provide insights into control environment improvements.

Required Qualifications

• Experience:
  • Minimum 6–7 years of experience in audit, risk, compliance, business control, or finance.
  • Strong understanding of Electronic Trading, including DMA, algorithmic trading strategies, and sponsored access.
• Audit Expertise: Ability to plan, execute, and evaluate audit test plans within a risk-based methodology.
• Analytical Skills: Proficient in analyzing large datasets to uncover patterns, trends, and risks.
• Technical Knowledge: Familiarity with financial instruments, Global Markets products, and risk management principles.
• Communication Skills: Exceptional written and verbal communication skills with the ability to influence management and lead change.
• Technical Proficiency: Proficiency in Microsoft Office products, especially Excel and PowerPoint.

Preferred Qualifications

• Bachelor’s degree or equivalent experience.
• Professional certifications such as CIA, CISA, or CPA are a plus.
• Experience with automation tools and innovative audit practices.

Compensation and Benefits

• Base Salary: $110,000–$140,000 annually, depending on experience.
• Incentives: Includes annual performance bonuses and merit-based salary adjustments.
• Work Environment: Opportunity to work in a hybrid role within a highly regarded institution known for its inclusive culture and focus on employee development.

Additional Details

• Work Schedule: Hybrid role with onsite and remote work.
• Position Type: Backfill role.
• Sponsorship/Relocation: Not available.

For more opportunities, visit EPN Open Jobs.