Audit Manager - Global Markets Equities - NASC GLOBAL

NASC GLOBAL is pleased to collaborate with our valued client in the search for a talented Audit Manager specializing in Global Markets Equities. This opportunity is based in the vibrant city of New York, NY, and offers a hybrid work model—three days in the office and two days working remotely.


Compensation and Benefits: Our client values exceptional talent and is prepared to offer a competitive salary ranging from $140,000 to $170,000, tailored to your experience, education, certifications, and skills. 


Responsibilities: In this role, you will oversee specific areas of audit work, taking the lead as Auditor-in-Charge (AIC) to implement the audit strategy for various Lines of Business (LOBs), particularly within Global Markets Equities, Futures and Options, and Research. Key responsibilities include:

• Engaging with products such as cash equities (both high touch and low touch electronic trading), derivatives, prime brokerage, stock loan, and structured equity financing products.
• Utilizing your understanding of US equity market regulations, exchanges, and clearing processes to enhance audit effectiveness.
• Defining audit scope and programs while crafting reports that leverage automation and innovative methodologies for timely, high-quality delivery.
• Ensuring compliance with audit policies and quality standards while overseeing audit testing.
• Assessing impacts on business processes and controls, providing strategic recommendations, and escalating significant themes as necessary.
• Exercising intellectual curiosity to constructively challenge management, driving improvements in the control environment.
• Leading a team of associates, offering day-to-day mentorship and fostering an inclusive culture.
• Building strong relationships with business partners to enhance your understanding of the organization’s operations.
• Applying your expertise in trading and hedging strategies, risk management, and regulatory landscapes to influence management positively.
• Supporting regulatory examinations through the preparation of presentation materials and timely responses to inquiries.
• Leveraging data and analytical tools throughout the audit lifecycle to enhance insights and reporting.
• Communicating findings effectively to ensure impactful dialogue.

• Minimum of 6 years of audit experience in capital markets, equity products, derivatives, and risk management.
• Bachelor’s or Master’s Degree in Business, Economics, Finance, or a related quantitative field, or an MBA.
• Proficiency in analytical tools and automation, including SQL, Alteryx, and advanced Excel/Access.
• Experience within large, global financial institutions, ideally in banking or brokerage.
• At least 3 years of leadership experience as auditor-in-charge.

• Proficiency in data analytics tools such as Python, R, or Tableau for enhanced audit reporting.
• Experience with automation platforms like UiPath or Blue Prism.
• Familiarity with risk assessment software such as Archer or LogicManager.
• Proficiency in audit management systems like AuditBoard or TeamMate.

• Certified Information Systems Auditor (CISA)
• Certified Fraud Examiner (CFE)
• Chartered Alternative Investment Analyst (CAIA)
• Financial Modeling & Valuation Analyst (FMVA)
• Chartered Financial Analyst (CFA)
• Financial Risk Manager (FRM)
• Certified Internal Auditor (CIA)

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