Director, Audit Manager, Markets and Wealth Services

About the role

This role is located in Lake Mary, Florida. In this role, you’ll make an impact in the following ways:

• Lead or participate in the delivery of complex and challenging global audit assignments, with a primary focus on the Clearing Broker Dealer.
• Drive or participate in all phases of audit project execution including planning, fieldwork, and reporting in accordance with audit methodologies.
• Perform walkthroughs with process owners; document results in narratives/flowcharts; identify and document risks and controls; develop and execute testing strategy; prepare supporting workpapers; and document test exceptions and conclusions.
• Elevate potential audit issues to the Audit Manager and business management as soon as they are identified.
• Identify and draft meaningful issues impacting the business under review and challenge management to develop appropriate remedial actions to address the issues identified.
• Follow-up on remedial actions to ensure corrective actions have been appropriately implemented and where necessary, test the design, operating effectiveness, and sustainability of implemented actions.
• Build strong relationships with key stakeholders in the business and risk management areas and with colleagues throughout the global Internal Audit team.
• Engage in and document Continuous Monitoring activities to identify new or changing risk conditions for the covered businesses.
• Apply advanced analytical problem-solving skills and assist others in solving complex issues and identifying innovative solutions.
• Contribute technical or specialized skill sets or business knowledge not readily available elsewhere in the department to solve audit issues.
• Identifies opportunities for the use of AI/automation and actively participate in advancing recommendations for software support requests.
• Maintain up-to-date knowledge of the industry, best practice and regulatory requirements.

Responsibilities

In this role, you’ll make an impact in the following ways:

• Lead or participate in the delivery of complex and challenging global audit assignments, with a primary focus on the Clearing Broker Dealer.
• Drive or participate in all phases of audit project execution including planning, fieldwork, and reporting in accordance with audit methodologies.
• Perform walkthroughs with process owners; document results in narratives/flowcharts; identify and document risks and controls; develop and execute testing strategy; prepare supporting workpapers; and document test exceptions and conclusions.
• Elevate potential audit issues to the Audit Manager and business management as soon as they are identified.
• Identify and draft meaningful issues impacting the business under review and challenge management to develop appropriate remedial actions to address the issues identified.
• Follow-up on remedial actions to ensure corrective actions have been appropriately implemented and where necessary, test the design, operating effectiveness, and sustainability of implemented actions.
• Build strong relationships with key stakeholders in the business and risk management areas and with colleagues throughout the global Internal Audit team.
• Engage in and document Continuous Monitoring activities to identify new or changing risk conditions for the covered businesses.
• Apply advanced analytical problem-solving skills and assist others in solving complex issues and identifying innovative solutions.
• Contribute technical or specialized skill sets or business knowledge not readily available elsewhere in the department to solve audit issues.
• Identifies opportunities for the use of AI/automation and actively participate in advancing recommendations for software support requests.
• Maintain up-to-date knowledge of the industry, best practice and regulatory requirements.

Requirements

No direct reports. Demonstrate leadership through work guidance and training of less experienced peers and through advice to assigned clients.

Qualifications

• Bachelor’s degree or an equivalent combination of education and relevant work experience.
• Degree in Accounting, Finance, or another discipline requiring strong analytical and critical-thinking skills.
• Certified Internal Auditor (CIA) designation or other risk-management certifications preferred.
• 10+ years of experience in financial services or banking, specifically within Internal Audit or Risk and Compliance Management.
• Technical Expertise in Clearing Broker‑Dealer Operations
• Candidates must have deep knowledge of clearing broker‑dealer functions and the full trade lifecycle, including: Execution processes, Clearing operations, Settlement processes, Custody services, Regulatory Knowledge, Understanding of Financial Market Infrastructure Knowledge, Audit‑Relevant Technical Competencies, Core Professional Skills, Strong written and verbal communication skills, Solid understanding of risk-management and control frameworks, Self-sufficiency, initiative, and a proactive mindset, Excellent planning, coordination, organizational, and presentation abilities, Ability to thrive in a fast-paced environment and adapt effectively as part of a team, Proficiency in Excel and other Microsoft applications, including PowerPoint, Word, Visio, and Power BI, Strong analytical skills, including the ability to interpret and apply analytics results in an audit context, along with critical-thinking and problem-solving capabilities, End to End general banking/finance knowledge

Skills

Strong written and verbal communication skills, with the ability to influence senior stakeholders.

Benefits

To be determined based on market data and individualized factors.

Pay

To be determined based on market data and individualized factors.

Schedule

To be determined based on market data and individualized factors.