Audit Manager/Senior Audit Manager, US Capital Markets

CFA Institute; New York (NY); Hybrid; USD 145,000 - 190,000; Full time

Benefits offered by this job

Competitive salary

Incentive pay

Banking benefits

Benefits program

Vacation offering

Wellbeing support

MomentMakers program

Job summary

CIBC is seeking an Audit Manager/Senior Audit Manager focused on Capital Markets to lead and execute audits for the US Internal Audit team. You will manage staffing, timelines, and deliverables, and build strong relationships with senior management while ensuring regulatory alignment.

You will coach team members, review findings, and drive continuous improvement across audit programs in a dynamic hybrid work environment requiring on-site and remote collaboration.

Qualifications

• Bachelor's degree in Accounting or Finance or related field.
• Professional certifications such as CPA and CIA; CFA is a plus.
• 7+ years of relevant Capital Markets audit experience.
• Experience with regulatory requirements and audit methodologies.
• Strong project management and communication skills.

Responsibilities

• Manage a portfolio of Capital Markets audits from planning to reporting.
• Lead audit teams and coordinate staffing and timelines.
• Review workpapers and draft high-quality audit reports.
• Provide coaching and feedback to audit staff.
• Develop and implement risk-based audit programs and improvements.

Skills

Audit Engagement Management

Project Leadership

Team Development

Stakeholder Relationships

Risk Assessment

Continuous Improvement

Education

Bachelor's Degree in Accounting/Finance

CPA or CIA preferred

CFA a plus

Tools

FINRA/CFTC SBSD familiarity

Job description

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit CIBC.com

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.

This position is not eligible for employment sponsorship

What CIBC Offers

• 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