Assistant Audit Manager – US Regulatory Focus

About the role

The Assistant Audit Manager will support internal audit activities for Marex's US regulated entities, focusing on regulatory‑required audits. This hands‑on position involves planning, executing risk‑based audits, documenting findings and tracking remediation.

Key responsibilities

• Plan and execute risk‑based audit assignments across broker‑dealer, FCM and swaps dealer entities.
• Document audit workpapers, findings and produce clear reports.
• Track management action plans to resolution and ensure compliance with FINRA, NFA and SEC requirements.
• Collaborate with front‑office, compliance and operations stakeholders.

Required profile

• 3‑5 years of internal audit experience in a complex financial services organisation.
• Strong understanding of US financial services regulations for broker‑dealers, FCMs and swaps dealers.
• Excellent attention to detail, written and verbal communication skills.
• Ability to work independently in a fast‑paced environment.

Required skills

• FINRA supervisory controls testing.
• NFA compliance program audit experience.
• SEC examination support.
• Proficiency with data‑analytics tools in an audit context.