Senior US Regulatory Audit Lead

Marex; Chicago (IL); On-site; USD 120,000 - 150,000; Full time

Job summary

Marex is seeking a Principal Audit Manager to lead internal audit activities for its US regulated entities, focusing on regulatory-required audits. You will own audits end-to-end, coach the Assistant Audit Manager, and serve as the primary contact for senior stakeholders on US regulatory matters.

Based in Chicago, you will build the US regulatory audit program, ensure high-quality deliverables, and manage cross-functional partnerships with Compliance, Legal, Risk, and Operations.

Qualifications

• 7+ years of Internal Audit experience in complex financial services.
• Deep knowledge of US financial services regulations for broker-dealers, FCMs and swaps dealers.
• Proven track record leading regulatory-required audits.
• Strong risk-based audit methodology & internal control frameworks.
• Excellent report writing & stakeholder communication.

Responsibilities

• Lead the US regulatory audit program across broker-dealer, FCM, and swap dealer entities.
• Develop and maintain the annual US regulatory audit plan.
• Lead audits from planning through reporting and remediation tracking.
• Review audit workpapers, findings and reports.
• Coach and develop audit team members.

Skills

US regulatory audits

Risk-based auditing

Stakeholder management

Leadership & coaching

Regulatory knowledge

Audit reporting

Data analytics

Regulatory program management

Job description

Marex is seeking a Principal Audit Manager to lead internal audit activities for its US regulated entities, focusing on regulatory-required audits. You will own audits end-to-end, coach the Assistant Audit Manager, and serve as the primary contact for senior stakeholders on US regulatory matters.

Based in Chicago, you will build the US regulatory audit program, ensure high-quality deliverables, and manage cross-functional partnerships with Compliance, Legal, Risk, and Operations.