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SVP Internal Audit - Capital Markets

  • Job type: Permanent
  • Location: New York
  • Salary: US$195000 - US$215000 per year
  • Job reference: 222051/006_1550870059
  • Sector: Selby Jennings, Audit & accounting
  • Date posted: 22/02/2019

A leading Asset Management Firm with over $5 B AUM located in Midtown, Manhattan is seeking a seasoned Audit professional to develop and implement new processes, risk, and controls across the capital markets audit sector. As the SVP, you will be tasked with monitoring key business risks, identifying potential risk exposures and leading audit initiatives across commodities, equities, fixed income and more. An ideal candidate will have over ten years of internal audit experience working within financial services, in addition to robust exposure to commodities and front office investment banking activities. Candidates should possess investment management/asset management experience, in addition to strong communication skills and the desire to contribute to a robust and friendly work environment.


  • Investigate, validate and evaluate risk control capabilities and pricing models used by FICC, equities and commodities trading desks.
  • Manage and assist the performance of audits across various lines of business (primarily sales, trading, fixed income)
  • Identify potential risk exposures and issues created as consequence of control inefficiencies. Negotiate solutions for those problems with executive management.
  • Conduct the Commodities investigation, analyzing models, trade execution, strategies, risk control and operation for the firm global desk.
  • Liaise with the Head of Internal Audit, external and internal staff to coordinate new initiatives or to address needs.


  • 10 + years of experience working within audit or risk related fields

  • CPA, CIA or similar designation is strongly preferred

  • Previous/Current exposure to investment management/asset management

  • In-depth experience covering capital markets activities, primarily commodities but also including sales, trading, fixed income and more

  • Bachelors degree in accounting, finance or other related fields

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