Assistant Internal Audit Manager – US Regulation

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

Job summary

Marex is seeking an Assistant Audit Manager to support internal audit activities across its US regulated entities, with a primary focus on regulatory‑required audits. This hands‑on role involves planning, executing, documenting findings, and tracking actions through to resolution while engaging with front office, compliance and operations.

Candidates should have 3–5 years of Internal Audit experience in financial services, strong knowledge of US broker‑dealer and derivatives rules, and

Qualifications

• 3–5 years of Internal Audit experience in a complex financial services organisation.
• Working knowledge of US financial services regulations applicable to broker‑dealers, FCMs, and Swaps Dealers.
• Significant experience in risk assessments and audits of a wide variety of complex financial systems.
• Comprehensive knowledge of modern internal audit concepts and standards and their application to financial services.
• Strong analytical and problem‑solving skills with the ability to interpret regulatory requirements.
• Effective written and verbal communication skills, experience with FINRA/NFA/SEC examinations, or related audits.
• Familiarity with commodities, derivatives or cleared products businesses.

Responsibilities

• Assist in planning and executing risk‑based internal audits across Marex's US regulated entities.
• Document findings and track management actions through to resolution.
• Engage with front office, compliance and operations to assess processes and controls.
• Support the delivery of regulatory‑required audits in a hands‑on role.

Skills

Internal Audit

US regulations

Risk assessments

Audit standards

Communication

Data analytics

FINRA testing

NFA compliance

SEC support

Commodities knowledge

Global firm experience

IT proficiency

Job description

Marex is seeking an Assistant Audit Manager to support internal audit activities across its US regulated entities, with a primary focus on regulatory‑required audits. This hands‑on role involves planning, executing, documenting findings, and tracking actions through to resolution while engaging with front office, compliance and operations.

Candidates should have 3–5 years of Internal Audit experience in financial services, strong knowledge of US broker‑dealer and derivatives rules, and