SVP Audit

HW3; New York (NY); On-site; USD 140,000 - 210,000; Full time

Job summary

HW3 is seeking an experienced Markets Audit leader to oversee a portfolio of audits across its Capital Markets businesses. This role involves delivering risk-based assurance across trading activities and partnering with senior stakeholders in risk, control, and front office.

The position offers exposure to executive leadership, opportunities to manage complex engagements, and to mentor audit professionals while driving audit methodology and process improvements.

Qualifications

• Extensive internal audit experience in Capital Markets, Investment Banking, or Trading.
• Strong understanding of Sales & Trading products (FX, Rates, Fixed Income, Credit).
• Deep knowledge of risks and controls across Front Office, Risk, Product Control, Operations.

Responsibilities

• Lead a portfolio of audits across Capital Markets and Trading activities.
• Oversee planning, execution, reporting, and remediation tracking.
• Mentor Audit Managers and Engagement Leads to develop junior staff.
• Ensure timely, risk-based audit delivery aligned with regulatory expectations.
• Leverage analytics and technology to enhance audit effectiveness.

Skills

Capital markets experience

Sales & trading knowledge

Front Office risk controls

Audit leadership

Regulatory awareness

Stakeholder communication

Mentoring teams

Job description

We are partnered with a global financial institution seeking an experienced Markets Audit leader to oversee a portfolio of audits across its Capital Markets businesses. This individual will play a key role in delivering risk-based assurance coverage across trading activities while partnering closely with senior business, risk, and control stakeholders.

The position offers significant exposure to executive leadership and the opportunity to lead complex audit engagements while mentoring and developing audit professionals.

Key Responsibilities

• Lead a portfolio of audits covering Capital Markets and Trading activities.
• Oversee audit planning, execution, reporting, and issue remediation tracking.
• Directly lead complex or high-risk audit engagements when required.
• Manage and coach Audit Managers and Engagement Leads responsible for individual reviews.
• Ensure audit delivery remains timely, risk-focused, and aligned with regulatory expectations.
• Leverage data analytics and technology-enabled testing approaches to improve audit effectiveness.
• Build strong relationships with Front Office, Risk, Finance, Operations, and Compliance stakeholders.
• Provide credible challenge and independent assessment of risk management and control frameworks.
• Support regulatory interactions and examinations as needed.
• Contribute to audit methodology enhancements and broader team initiatives.
• Develop and mentor junior audit professionals through coaching and performance management.

Required Experience

• Extensive Internal Audit experience within Capital Markets, Investment Banking, or Trading environments.
• Strong understanding of Sales & Trading businesses, including products such as FX, Rates, Fixed Income, Credit, or related asset classes.
• Deep knowledge of key risks and controls across Front Office, Risk Management, Product Control, Operations, and supporting functions.
• Experience leading complex audit engagements and managing multiple stakeholders.
• Familiarity with U.S. banking regulatory expectations and examinations.
• Strong communication skills with the ability to influence senior stakeholders and challenge effectively.
• Proven experience developing and mentoring audit teams.