Internal Auditor – BrokerDealer & Capital Markets

New York City, NY - USA

Monthly Salary: Not Disclosed

Posted on: 3 days ago

Vacancies: 1 Vacancy

Job Summary

Internal Auditor Broker/Dealer & Capital Markets

Location: New York City NY
On-site Requirement: Hybrid 2 3 days per week onsite in NYC
Level: Senior Associate / Director-level Individual Contributor (10 20 years experience)
Engagement Type: 12-month contract (ASAP start; potential extension)

Position Overview

We are seeking a highly experienced Internal Auditor with strong broker/dealer and capital markets expertise to support a leading financial services firm in New York City. This is a hands-on end-to-end audit execution role reporting directly to senior audit leadership (CAE-level). The ideal candidate can operate independently build audit coverage plans assess risk run walkthroughs execute testing when needed and deliver strong executive-ready reporting.

This role requires strong judgment exceptional communication and the ability to work credibly with senior stakeholders in a fast-paced environment.

Core Areas of Expertise

Candidates should have demonstrated experience across several of the following domains:

Broker/Dealer Internal Audit
Capital Markets / Trading & Markets Controls
FINRA / SEC Regulatory Compliance
Market Conduct / Supervision Controls
Trade Surveillance / Monitoring Controls
Operational Risk & Controls Testing
Risk-Based Audit Planning
Issue Validation / Remediation Effectiveness Testing
Business Process Technology Risk Exposure (preferred)
Governance / Audit Methodology & Reporting

Key Responsibilities

Build and execute risk-based audit plans supporting broker/dealer and capital markets activities.
Lead audits end-to-end including:
- audit planning scoping and risk assessment
- walkthroughs and process/control evaluation
- test strategy design and execution (including hands-on testing as needed)
- identification of control gaps root causes and audit issues
- drafting and finalizing audit reports with clear actionable recommendations
Partner directly with audit leadership and business stakeholders to assess control environments and emerging risks.
Maintain high-quality audit documentation (workpapers testing evidence findings) consistent with internal audit standards.
Track and validate management remediation efforts and support audit issue closure.
Contribute to improvements in audit methodology reporting standards and risk coverage approach.

Qualifications

Bachelors degree in Accounting Finance Business or related field.
10 20 years of experience in Internal Audit Risk or Regulatory Audit within financial services.
Proven experience auditing in a broker/dealer environment (capital markets / trading-related controls strongly preferred).
Strong capability to operate independently and lead audits with minimal oversight.
Demonstrated ability to conduct walkthroughs assess control design execute testing and write audit reports.
Strong written and verbal communication skills; ability to communicate effectively with senior leadership.

Preferred Experience

Direct exposure to regulatory frameworks impacting broker/dealers (e.g. FINRA / SEC supervision requirements market conduct).
Experience auditing trade surveillance supervision controls or operational controls supporting markets activity.
Blend of business and technology risk experience (systems supporting trading/surveillance/reporting automated controls data integrity).
Professional certifications preferred: CIA CPA CISA (or equivalent).
Prior experience in large broker/dealers investment firms or top-tier audit/advisory environments.

Internal Auditor Broker/Dealer & Capital Markets Location: New York City NY On-site Requirement: Hybrid 2 3 days per week onsite in NYC Level: Senior Associate / Director-level Individual Contributor (10 20 years experience) Engagement Type: 12-month contract (ASAP start; potential exten...