Audit Supervisor - Global Markets Trade Surveillance/Market Conduct
AuditFriendly Careers • New York, New York • Full Time • $120,000–$160,000 / year
Posted on Tue, Sep 8, 2026
Responsibilities:
- Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and leverages automation and innovative methods in a timely and high-quality manner.
- Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment.
- Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings.
- Provides input on draft audit reports and shares audit results with business leaders.
- Supports the development of peers and teams through on-the-job-training and fosters an inclusive work environment.
- Establishes business partner relationships, primarily with line management, to develop business knowledge.
- Uses innovative tools to complete audit activities more efficiently (e.g., testing).
- 4+ year in auditing and same in trading with a compliance/business controls/risk management role with specific experience/coverage of trading desk activities across either Equities or Fixed Income, Currencies and Commodities asset classes.
- Audit or risk control risk/controls background in financial services.
- Intermediate Analytical/Automation Skills (SQL, SAS, Excel and Access).
- Bachelor degree.
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