Senior Audit Manager - Capital Markets

U.S. Bancorp
New York, Atlanta, Minneapolis, Charlotte, Texas
Workplace: OnsiteFull timeUSD 194,225 - 228,500 annuallyFunction: Finance & AccountingExperience: 15+ yearsEducation: bachelorsSkills: ["Leadership","Coaching","Performance management","Analytical thinking","Stakeholder communication"]

Lead independent assurance and advisory for Capital Markets and broker-dealer activities, evaluating and improving enterprise risk management, control, and governance. Own a risk-based audit plan, execute complex engagements, and validate issues against CAS policies and IIA Standards. Partner with risk, compliance, operations, technology, and other assurance teams to deliver credible insights to senior leadership while developing and managing audit talent and audit coverage strategy.

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FursaFursa
U.S. Bancorp
U.S. Bancorp
3 days ago

Senior Audit Manager - Capital Markets

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Source: Company careers pageValidated by: Fursa AI
Last checked: 4 hours agoStatus: Live

Job Summary

Lead independent assurance and advisory for Capital Markets and broker-dealer activities, evaluating and improving enterprise risk management, control, and governance. Own a risk-based audit plan, execute complex engagements, and validate issues against CAS policies and IIA Standards. Partner with risk, compliance, operations, technology, and other assurance teams to deliver credible insights to senior leadership while developing and managing audit talent and audit coverage strategy.
Location: New York, Atlanta, Minneapolis, Charlotte, Texas
Workplace: Onsite
Employment Type: Full time
Job Function: Finance & Accounting
Seniority: Manager level

Key Responsibilities

  • •Own and maintain a risk-based audit plan for Capital Markets and broker-dealer activities, including risk assessment and audit cycle planning.
  • •Oversee planning, scoping, execution, issue validation, and reporting of complex audit engagements, challenging control design and operating effectiveness.
  • •Review and approve audit deliverables, including risk assessments, engagement plans, workpapers, issue write-ups, management action plans, and final reports.
  • •Build trusted relationships across risk, compliance, operations, technology, and assurance functions, and communicate themes and emerging risks to senior governance forums.
  • •Lead audit teams: manage performance, staffing and resource allocation, and support recruiting, onboarding, retention, succession planning, and development of specialized talent.

Pay and Benefits

Salary: USD 194,225 - 228,500 annually
Perks:Health InsuranceDentalVisionLife Insurance401kRetirementPaid LeavePaid HolidayParental LeaveDisability

Key Requirements

  • •Bachelor's or advanced degree, or equivalent work experience.
  • •Typically more than 15 years of applicable experience.
  • •Strong audit experience covering trading-related activities, including institutional equities and electronic/systematic trading models.
  • •Subject matter expertise in multi-product capital markets and broker-dealer audit domain, including front-to-back business and operating models.
  • •Strong knowledge of audit, risk, and compliance frameworks, including IIA Standards and internal control principles.
Experience:15+ yearsCapital marketsBroker-dealerTradingInstitutional equitiesPrime brokerage
Education:Bachelor's
Skills:LeadershipCoachingPerformance managementAnalytical thinkingStakeholder communication
Certifications:CIACPACISA
Tech Stack:IIA Standards

Company Brief

U.S. Bancorp
U.S. Bancorp is the parent company of U.S. Bank, providing consumer, business, and institutional banking services including lending, payments, treasury management, wealth management, and merchant solutions across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Minneapolis, United States
Founded: 1863
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