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Lead Auditor, Broker Dealer Compliance

  • Location: Chicago, IL
  • Salary: $100,000 - $120,000 + bonus + equity
  • Job type: Permanent
  • Job reference: JM171425
  • Sector: Banking, Asset management/Funds
Job Description

Barclay Simpson are working with a leading investment banking business to find a Lead Internal Auditor to join their broker-dealer audit team based out of Chicago, Illinois.


Reporting to the Audit Director, this position is a leadership role in which the successful candidate will act as auditor-in-charge on a range of complex broker-dealer compliance audits. Specifically, this position will audit the futures and options product risks and controls.


A strong understanding of capital markets products is required for this position, including: futures, options, derivatives and swaps.


In addition, a strong audit profile is necessary to provide leadership and direction to more junior members of the team.


The ideal candidate will have:


  • 5+ years’ internal auditing or compliance experience focused on broker-dealer products.

  • Experience in management or leadership position, providing mentoring to more junior members of the team.

  • Proven track record in leading complex audits.


Please reach out for further details.


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