Senior Manager- Audit- Capital Markets

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Job #: 10382
Status: Inactive / Filled
Title: Senior Manager- Audit- Capital Markets
Job Location: NYC, NY
Base Compensation: $110,000 — $130,000
Total Compensation: $130,000 — $155,000
Is Employer Willing to Relocate?: No
Employment Type: Full Time / Direct Hire
Job Categories: Audit
Industries: Banking; Financial Services; Investments


An oppurtunity to join a leading investment bank in growth mode. This role lies within the elite capital markets group at the company and will report to a Portfolio Manager.


Company seeks an experience capital markets auditor. The person in the role will assist the Internal Audit department’s in completing its annual audit plan, communicating to senior management and the Board Audit Committee those areas requiring control enhancements and providing recommendations for improvements. Audited functions include: sales and trading activities and procedures; all traded products (equities, fixed income, commodities); operations, financial accounting, compliance and legal protocol; as well as other aspects of the Sales & Trading business. Reporting to a Portfolio Manager, the senior manager will be able to perform risk assessments and plan, execute and lead integrated financial and technology audits. This includes: • Perform risk assessments at an entity and at a process level. • Prepare audit planning memorandum including identifying and evaluating key risks, setting audit scope, determining budgets and staff assignments. • Perform walkthroughs, assessing the internal control environment and performing controls and substantive testing • Supervise and mentor junior staff, and review workpapers to ensure they meet internal standards. • Manage audits to meet budgets and the time frame for completing audits. • Assess potential findings for significance. • Draft audit reports including writing clear and concise findings and recommendations. - Follow up actions quarterly with clients through to completion


• Seven to ten years experience in financial services with a preference for those with at least five years auditing financial services. • Strong knowledge of financial instruments including derivatives (e.g. good understanding of option valuation, able to discuss trading strategies with the front office). • Strong analytical skills. Able to quickly process information. • Bright, motivated and good interpersonal and communication skills. • 4 year college degree required, CPA or international equivalent strongly preferred.


Total Years of Experience:

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