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Audit Manager, Capital Markets Compliance

  • Location: New York, NY
  • Salary: $150,000 - $170,000 USD
  • Job type: Permanent
  • Job reference: JM171066-2
  • Sector: Banking
Job Description

We are working with a Tier 1 Global Banking Group to find a VP Audit Manager for their expanding capital markets compliance team.


Reporting to and working closely with the Audit Director for Capital Markets, this position will have responsibility for conducting risk assessments of the broker dealer, investment banking and related regulatory compliance controls.


This is a high visibility leadership position in which stakeholder management plays a key role. The bank is open to considering a wide range of investment banking audit backgrounds however the ideal candidate will likely have:


  • 7+ years of direct internal audit experience within a corporate and investment bank.

  • Familiarity with broker-dealer regulatory requirements.

  • Experience in conducting audit scoping and risk assessments.

  • A relevant qualification such as a broker-dealer license, CPA, CAMS or MBA.


Please reach out to me for further information.


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