Principal, Internal Auditor- Financial Services

Brewer Morris; Chicago (IL); On-site; USD 120,000 - 180,000; Full time

Job summary

Brewer Morris, Chicago, is partnering with a global financial services firm to recruit a Principal, Internal Auditor. You will lead audits end-to-end from planning through reporting, work directly with senior management, and see your findings reach the Board.

You will shape the three-year audit plan, supervise staff and co-source partners, run integrated IT general controls with business audits, and assess compliance with SEC, FINRA, NFA and CFTC requirements.

Qualifications

• 7+ years of audit experience in financial services, gained in internal audit, public accounting, or a combination of the two.
• Experience auditing broker-dealers, futures commission merchants, swap dealers or securities firms.
• Familiarity with futures is a plus, but experience auditing other trading or capital markets businesses will also be considered.
• Know-how in internal audit standards and how they apply in a regulated financial services firm.
• A bachelor's degree is required. A CPA, a CIA, or a comparable qualification is preferred.

Responsibilities

• You will shape the three-year internal audit plan so that key risks are covered across the firm's US entities and business lines.
• You will plan and lead audits across the full life cycle, supervising staff and co-source partners as needed.
• You will run integrated audits that combine IT general controls with business process reviews, along with standalone business audits.
• You will assess compliance with SEC, FINRA, NFA and CFTC requirements across the firm's regulated businesses.
• You will partner with senior leaders to strengthen the control environment in their areas and track remediation through to close.
• You will help select and roll out an electronic workpaper and risk assessment tool for the audit function.

Skills

Regulatory knowledge

Audit leadership

Capital markets auditing

Education

Bachelor's degree

Job description

Chicago, IL (On-site)

Brewer Morris is partnering with a global, publicly listed financial services firm on a confidential Principal, Internal Auditor search in Chicago. The role sits within a lean, global Internal Audit team and reports to the Head of Internal Audit, North America. You will lead audits end-to-end from planning through reporting, work directly with senior management, and see your findings reach the Board. The firm is also investing in how the function works, so you will have a hand in shaping its methodology and tools.

Responsibilities

• You will help shape the three-year internal audit plan so that key risks are covered across the firm's US entities and business lines.
• You will plan and lead audits across the full life cycle, supervising staff and co-source partners as needed.
• You will run integrated audits that combine IT general controls with business process reviews, along with standalone business audits.
• You will assess compliance with SEC, FINRA, NFA and CFTC requirements across the firm's regulated businesses.
• You will partner with senior leaders to strengthen the control environment in their areas and track remediation through to close.
• You will help select and roll out an electronic workpaper and risk assessment tool for the audit function.

Qualifications

• 7+ years of audit experience in financial services, gained in internal audit, public accounting, or a combination of the two.
• Experience auditing broker-dealers, futures commission merchants, swap dealers or securities firms.
• Familiarity with futures is a plus, but experience auditing other trading or capital markets businesses will also be considered.
• Know-how in internal audit standards and how they apply in a regulated financial services firm.
• A bachelor's degree is required. A CPA, a CIA, or a comparable qualification is preferred.