Internal Audit Manager

Internal Audit Manager

We are looking for an experienced Internal Audit Manager to lead and develop the internal audit function for a dynamic clearing broker-dealer organization. This strategic role involves building audit frameworks that ensure compliance with regulatory standards, operational efficiency, and effective risk management. The successful candidate will bring extensive knowledge of broker-dealer operations and regulations, along with the ability to design and execute audit programs from inception. This is a contract position based in Dallas, Texas.

Responsibilities :

• Develop and implement a comprehensive internal audit plan tailored to risk assessments and organizational needs.
• Create and refine audit policies, procedures, and testing methodologies in alignment with industry standards.
• Conduct audits to ensure compliance with FINRA regulations, including rules such as 15c3-1, 15c3-3, and 17a-5.
• Review financial and operational controls, including reserve computations, net capital calculations, and securities processing.
• Evaluate risks across business operations, ensuring robust controls and validating SOC 1 / SOC 2 reports.
• Assess cybersecurity protocols, system access controls, and data privacy measures to mitigate technological risks.
• Execute audit plans with defined scopes, documenting findings and presenting results to senior leadership and the Board.
• Collaborate with external auditors and internal teams across compliance, operations, finance, and technology.
• Monitor remediation efforts to address audit findings and promote a strong control culture within the organization.
• Act as a key stakeholder in shaping the firm's risk and compliance strategy while ensuring operational effectiveness.

Requirements :