Internal Auditor Broker/Dealer & Capital Markets

Location: New York City, NY
On-site Requirement: Hybrid 2 3 days per week onsite in NYC
Level: Senior Associate / Director-level Individual Contributor (10 20 years experience)
Engagement Type: 12-month contract (ASAP start; potential extension)

We are seeking a highly experienced Internal Auditor with strong broker/dealer and capital markets expertise to support a leading financial services firm in New York City. This is a hands-on, end-to-end audit execution role reporting directly to senior audit leadership (CAE-level). The ideal candidate can operate independently, build audit coverage plans, assess risk, run walkthroughs, execute testing when needed, and deliver strong, executive-ready reporting.

This role requires strong judgment, exceptional communication, and the ability to work credibly with senior stakeholders in a fast-paced environment.

Candidates should have demonstrated experience across several of the following domains:

• Broker/Dealer Internal Audit

• Capital Markets / Trading & Markets Controls

• FINRA / SEC Regulatory Compliance

• Market Conduct / Supervision Controls

• Trade Surveillance / Monitoring Controls

• Operational Risk & Controls Testing

• Risk-Based Audit Planning

• Issue Validation / Remediation Effectiveness Testing

• Business Process + Technology Risk Exposure (preferred)

• Governance / Audit Methodology & Reporting

• Build and execute risk-based audit plans supporting broker/dealer and capital markets activities.

• Lead audits end-to-end, including:

  • audit planning, scoping, and risk assessment

  • walkthroughs and process/control evaluation

  • test strategy design and execution (including hands-on testing as needed)

  • identification of control gaps, root causes, and audit issues

  • drafting and finalizing audit reports with clear, actionable recommendations

• Partner directly with audit leadership and business stakeholders to assess control environments and emerging risks.

• Maintain high-quality audit documentation (workpapers, testing evidence, findings) consistent with internal audit standards.

• Track and validate management remediation efforts and support audit issue closure.

• Contribute to improvements in audit methodology, reporting standards, and risk coverage approach.

• Bachelor's degree in Accounting, Finance, Business, or related field.

• 10 20 years of experience in Internal Audit, Risk, or Regulatory Audit within financial services.

• Proven experience auditing in a broker/dealer environment (capital markets / trading-related controls strongly preferred).

• Strong capability to operate independently and lead audits with minimal oversight.

• Demonstrated ability to conduct walkthroughs, assess control design, execute testing, and write audit reports.

• Strong written and verbal communication skills; ability to communicate effectively with senior leadership.

• Direct exposure to regulatory frameworks impacting broker/dealers (e.g., FINRA / SEC, supervision requirements, market conduct).

• Experience auditing trade surveillance, supervision controls, or operational controls supporting markets activity.

• Blend of business and technology risk experience (systems supporting trading/surveillance/reporting, automated controls, data integrity).

• Professional certifications preferred: CIA, CPA, CISA (or equivalent).

• Prior experience in large broker/dealers, investment firms, or top-tier audit/advisory environments.

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