Senior US Regulatory Audit Lead – Financial Services

Apollo Solutions; Chicago (IL); On-site; USD 140,000 - 180,000; Full time

Job summary

Apollo Solutions seeks an experienced Internal Audit Manager – Financial Services to be based in Chicago, USA. The role owns the US regulatory audit programme across broker-dealer, FCM and swap dealer entities, leading complex audits end-to-end and shaping coverage with senior stakeholders.

You will develop the annual audit plan, assess control weaknesses, and present findings to senior management while guiding a team and coordinating with Compliance, Legal, Risk and other stakeholders.

Qualifications

• 7+ years Internal Audit experience in complex financial services environments
• Strong knowledge of US financial services regulation across broker-dealers, FCMs and swap dealers
• Proven experience leading regulatory-focused audits
• Strong risk-based audit methodologies and internal control frameworks
• Experience presenting to senior stakeholders in a regulated business
• Exposure to commodities, derivatives or capital markets is advantageous
• Excellent report writing and communication skills for senior audiences

Responsibilities

• Lead the US regulatory audit programme across broker-dealer, FCM and swap dealer entities
• Manage audits end-to-end from scoping to remediation tracking
• Develop and maintain the annual regulatory audit plan and risk assessments
• Review workpapers, findings and reports ensuring high audit quality
• Assess control weaknesses and provide independent challenge to the business
• Monitor regulatory developments and incorporate risks into audit coverage
• Partner with Compliance, Legal, Risk and wider business stakeholders
• Present audit findings to senior management
• Coach and develop audit team members and oversee co-sourced resources

Skills

Audit experience

Regulatory knowledge

Leadership

Report writing

Job description

Apollo Solutions seeks an experienced Internal Audit Manager – Financial Services to be based in Chicago, USA. The role owns the US regulatory audit programme across broker-dealer, FCM and swap dealer entities, leading complex audits end-to-end and shaping coverage with senior stakeholders.

You will develop the annual audit plan, assess control weaknesses, and present findings to senior management while guiding a team and coordinating with Compliance, Legal, Risk and other stakeholders.