Assistant Audit Manager — US Regulatory & Risk Audits

Rex; Chicago (IL); On-site; USD 80,000 - 110,000; Full time

Job summary

The Assistant Audit Manager at Marex supports internal audit activities across Marex's US regulated entities, with focus on regulatory-required audits. This hands-on role assists in planning, executing risk-based audits, documenting findings, and tracking actions to resolution, interacting with front office, compliance and operations teams.

Candidates should understand US financial services regulation and bring 3–5 years of internal audit experience within complex financial services, plus strong

Qualifications

• 3–5 years of Internal Audit experience in a complex financial services organisation(s).
• Working knowledge of US financial services regulations applicable to broker-dealers, FCMs, and Swaps Dealers.
• Experience conducting risk assessments and audits of complex financial systems.
• Solid understanding of risk-based audit methodology and internal control frameworks.
• Excellent written and verbal communication skills.
• Experience with FINRA supervisory controls testing, NFA Compliance audits, or SEC examination support.
• Exposure to data analytics in an audit context.

Responsibilities

• Support the delivery of internal audit activities across Marex's US regulated entities, focusing on regulatory audits.
• Assist in planning and executing risk-based audit assignments and documenting findings.
• Track management actions through to resolution and engage with stakeholders across front office, compliance, and operations.

Skills

Internal Audit experience

US regulatory knowledge

Risk assessment skills

Regulatory standards knowledge

Communication skills

Data analytics familiarity

Regulatory testing experience

Industry knowledge: financial services

Education

Bachelor's degree in Finance/Accounting or related field

Tools

Data analytics tools

Audit software

Job description

The Assistant Audit Manager at Marex supports internal audit activities across Marex's US regulated entities, with focus on regulatory-required audits. This hands-on role assists in planning, executing risk-based audits, documenting findings, and tracking actions to resolution, interacting with front office, compliance and operations teams.

Candidates should understand US financial services regulation and bring 3–5 years of internal audit experience within complex financial services, plus strong