Audit Manager/Senior Audit Manager, US Capital Markets

CIBC; Chicago (IL); Hybrid; USD 145,000 - 190,000; Full time

Job summary

CIBC's US Internal Audit team seeks an Audit Manager/Senior Audit Manager focused on Capital Markets. You will manage engagements, lead project delivery, review workpapers, and develop actionable recommendations while coaching teams and maintaining strong relationships with senior management.

Ideal candidates have 7+ years in Capital Markets audits, CPA/CIA, and familiarity with FINRA, CFTC, SBSD. This hybrid role combines on-site collaboration with remote work flexibility.

Qualifications

• Bachelor’s degree in Accounting, Finance, or a related field.
• CPA and CIA certifications preferred.
• 7+ years of relevant experience in Capital Markets audits.
• Exposure to FINRA, CFTC, and SBSD regulations.

Responsibilities

• Manage a portfolio of audit engagements, including staffing and scheduling.
• Lead and oversee larger, more complex audits and projects.
• Provide coaching and development to audit team members.
• Build strong relationships with senior management and key stakeholders.
• Identify risks and controls within business processes and draft audit reports.
• Contribute to continuous improvement and cross-team collaboration.

Skills

Audit leadership

Risk assessment

Stakeholder management

Project management

Communication

Analytical thinking

Team development

Regulatory knowledge

Education

Bachelor’s Degree in Accounting/Finance

CPA

CIA

CFA

Job description

What You'll Be Doing

As an Audit Manager/Senior Audit Manager focused on Capital Markets, you'll play a key role in CIBC's US Internal Audit team. You'll manage and execute audit engagements across a portfolio of Capital Markets activities, ensuring that all work aligns with CIBC's Internal Audit methodology and regulatory requirements. Your responsibilities include leading audit teams, reviewing workpapers, analyzing findings, and developing actionable recommendations. You'll foster a collaborative and innovative environment, provide coaching and feedback, and build strong relationships with senior management and stakeholders. Your expertise will help maintain transparency throughout the audit lifecycle, proactively manage projects and resources, and deliver comprehensive coverage of relevant risks and business processes.

At CIBC we enable the work environment most optimal for you to thrive in your role. You'll have the flexibility to manage your work activities within a hybrid work arrangement where you'll spend 2+ days per week on-site, while other days will be remote.

How You'll Succeed

• Audit Engagement Management - Manage a portfolio of assigned audits, including staffing, scheduling, stakeholder coordination, and completion of the audit plan.
• Project Leadership - Lead and manage larger, more complex audit engagements and projects, sometimes concurrently, ensuring quality and adherence to standards.
• Team Development - Provide guidance, feedback, and learning opportunities to audit team personnel, fostering professional growth and a positive team culture.
• Stakeholder Relationship Building - Develop strong relationships with senior management and other key stakeholders, facilitating open communication and collaboration.
• Risk Assessment & Reporting - Identify risks and controls within business processes, design audit programs, review workpapers, and draft high-quality audit reports with minimal oversight.
• Continuous Improvement - Contribute to a team-oriented culture by sharing information, resolving conflicts, and supporting other project teams as needed.

Who You Are

You have relevant education and certifications. You hold a Bachelor's Degree in Accounting, Finance, or a related field, and professional certifications such as Certified Public Accountant (CPA) and Certified Internal Auditor (CIA). Being a Chartered Financial Analyst (CFA) or working towards the designation is a plus.

You bring extensive audit experience. You have 7+ years of relevant experience, including Capital Markets activities and products, as well as exposure to FINRA, CFTC, and Security-Based Swap Dealer (SBSD) regulations.

You're a strong project manager. You demonstrate project management skills, including the ability to handle shifting priorities and complex, ambiguous situations independently.

You're an effective communicator and collaborator. You possess strong analytical, written/verbal communication, interpersonal, and relationship-building skills, with a high level of expertise in collaborating with internal and external parties.

You lead with integrity and professionalism. You exemplify a strong work ethic and operate effectively in dynamic, fast-paced environments, with prior managerial experience.

Values matter to you. You bring integrity, professionalism, and a commitment to CIBC's purpose-driven culture.

California residents - your privacy rights regarding your actual or prospective employment

This role has an expected salary range of $145,000 USD - $190,000 USD based on experience, qualifications, and location (salary differential for different locations will be discussed during the interview). The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which may also include a discretionary bonus component. CIBC offers a full range of benefits and programs, including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, Paid Time Off, Holidays, and 401(k), plus other special perks for our team members. Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process.

#LI-TA This position is not eligible for employment sponsorship

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program_, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program. Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients. We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development. _Subject to plan and program terms and conditions

What you need to know

CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact [e-mail] You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit. We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.

Job Location

NY-New York, 300 Madison Ave Fl 6

Employment Type

Regular Weekly Hours 40

Skills

• Analytical Thinking
• Audit Management
• Broker Dealer Services
• Capital Markets
• Commodity Trading
• Derivative Instruments
• Equity Derivatives
• Fixed Income Trading
• Internal Controls
• Operating Effectiveness
• People Management
• Prime Brokerage
• Risk Based Auditing
• Risk Management and Mitigation
• Trade Control
• Work Collaboratively

At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability. Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel. Every day, our 48,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.