Audit Manager

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.

As an Audit Manager, you’ll serve as a key ambassador for the Internal Audit function, upholding its reputation for integrity, professionalism, and value-added assurance. You’ll lead audit engagements that provide impactful insights, support regulatory compliance, and strengthen the firm’s control environment.

• Support the execution of a dynamic, risk-focused audit plan that meets regulatory expectations and delivers independent, high-impact assurance and insights
• Oversee the planning and delivery of audit assignments, ensuring comprehensive coverage of key risks, effective collaboration across Internal Audit teams, and adherence to regulatory standards
• Provide high-quality, efficient, and actionable assurance, influencing business leaders to strengthen control frameworks and mitigate risk
• Manage and coach audit team members throughout engagements, fostering their growth and ensuring timely, budget-conscious delivery of audit work
• Build strong relationships with key stakeholders, facilitating open dialogue around business risks and audit findings to drive meaningful change
• Guide the audit team through all phases of the engagement, offering support, feedback, and development opportunities

• Minimum 3 years of internal audit experience, with at least 2 years in an Audit Manager role
• Experience in financial markets or investment banking is required;
  Broker-Dealer experience is a strong plus
• Demonstrated experience in regulatory and functional audits
• Proven ability to lead teams and deliver projects on time, within budget, and to a high standard of quality
• Strong coaching and talent development skills, with a proactive approach to identifying and nurturing potential
• Excellent stakeholder management and communication skills, both written and verbal

The expected base annual salary range for this position is $160,000 - $170,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus;

medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.

Hours:

40 hours per week

Job Posting Closing Date is not yet published.

This is the policy of Nat West Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.

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