Audit Director - Broker/Dealer

Hamlyn Williams
New York
230000.00 USD Annual
08 Jul 2021
26 Jul 2021
Job Type
Internal Auditor
Employer Sector
Banking & Finance - Retail
Contract Type
Full Time
The Audit Director will plan and oversee the execution of the internal audit plan which tests the controls around traded market risks. The business operates in the financial, metals, FX, agriculture and energy sectors and provides clearing, futures and swaps services.
The Audit Director will work closely with the Chief Auditor to establish the risk and control framework and manage a team of auditors in the delivery of the plan.
Key responsibilities:

Oversee the delivery of the global broker-dealer audit plan in line with the business's audit methodology and internal audit standards.
Provide subject matter expertise on key risks and controls as they relate to broker-dealer activities with institutional client portfolios.
Support and enhance the quality of audit execution in the team, providing for the team's -learning and development training.
Building and supporting stakeholder relationships in the business.
Contributing to relevant steering committees in the global business.

Candidate qualifications:

12+ years' experience in a capital markets/brokerage GRC function with direct internal audit experience.
Demonstrated management experience and a desire to take a strategic leadership position in an internal audit function.
A degree in a relevant subject area.
To apply, please share an up-to-date copy of your resume to For more information, please contact me directly via email or at .
At this time, the business cannot support visa sponsorship for this position.