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Internal Audit Manager Broker - Dealer
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- Internal Audit Manager – Broker-Dealer
- As the third line of defense, Internal Audit’s (IA) mission is to independently assess the firm’s overall control environment, including the firm’s governance processes, controls, and risk management framework.
- We are seeking a highly skilled and experienced Broker Dealer Internal Auditor to join our team.
- Knowledge about CFTC Swap Dealer and SEC/CFTC Securities Based Swap Dealer activities, operations and financial reporting is desirable.
- Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
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