Senior Audit Project Manager - Capital Markets
Core
Lead complex independent assurance engagements to evaluate and improve risk management, control, and governance processes for Capital Markets and institutional broker-dealer activities.
Role type
Senior IC Audit Project Manager
Builds
Independent audit reports and assurance on end-to-end processes and controls for Capital Markets and broker-dealer operations
Domain
Financial Services / Capital Markets / Broker-Dealer
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
End-to-end audit engagement management, risk-based audit planning, control evaluation, workpaper quality assurance, stakeholder engagement, team supervision, regulatory compliance knowledge
Preferred skills
Trading-related audit experience (equities, electronic/systematic trading, prime brokerage), multi-product capital markets expertise, IIA Standards proficiency, complex initiative management
Technologies
Audit management systems, risk assessment tools
Responsibilities
Develop and maintain risk-based audit plans, lead end-to-end audit engagements from planning to reporting, review audit workpapers for quality, communicate audit results to senior management, supervise and coach audit staff, partner across three lines of defense
Seniority
Senior, hands-on IC with mentorship responsibilities