Internal Audit Director - Equities
Kforce Inc.

New York, New York


Kforce has a client is seeking to hire an Internal Audit Director-Equities in New York City, New York (NY).Summary:A world class financial services firm seeks an Internal Audit Director in NYC focused on the equities business. This firm offers fantastic benefits, yearend bonus along with opportunity to advance, and no travel required.Responsibilities include:
  • Perform front to back audits of the equities trading business
  • Identify and assess areas of critical and high risks and evaluate the soundness of their controls as part of audits, continuous monitoring, and closure verification work to formulate a point of view of the control environment
  • Internal Audit Director will drive discussions and asks probing questions to further dialogue with senior business stakeholders to understand risk drivers, control state, and impact
  • Plan and execute audits, continuous monitoring and closure verification work on sales, trading, and support groups on time and within budgets
  • Provide guidance to junior staff as needed
  • Internal Audit Director will audit electronic trading risks including client order handling, risk management including limits, market surveillance, and regulatory reporting
  • Proactively monitors and address key metrics associated with audit plans, resources, issues, and actions


  • Bachelor's degree
  • Preferably CPA, CIA, or other accounting qualification
  • Preferably CFA, FRM or other financial/risk qualification
  • 6-8+ years of audit experience out of financial services or national public accounting with experience audit financial services
  • Good understanding of key financial industry regulations and capital market related products for equities or fixed income
  • Good understanding of the operation of financial markets, financial instruments, and strategies
  • Communicates with impact, able to state risk and issues concisely and articulates impact in a structured manner both written and verbally
  • Applies knowledge of key regulations to influence audit work and understands the impact to the business line
  • Business understanding of electronic trading risks including client order handling, risk management including limits, market surveillance, and regulatory reporting is preferred

The pay range is the lowest to highest compensation we reasonably in good faith believe we would pay at posting for this role. We may ultimately pay more or less than this range. Employee pay is based on factors like relevant education, qualifications, certifications, experience, skills, seniority, location, performance, union contract and business needs. This range may be modified in the future.

We offer comprehensive benefits including medical/dental/vision insurance, HSA, FSA, 401(k), and life, disability & ADD insurance to eligible employees. Salaried personnel receive paid time off. Hourly employees are not eligible for paid time off unless required by law. Hourly employees on a Service Contract Act project are eligible for paid sick leave.

Note: Pay is not considered compensation until it is earned, vested and determinable. The amount and availability of any compensation remains in Kforce's sole discretion unless and until paid and may be modified in its discretion consistent with the law.

This job is not eligible for bonuses, incentives or commissions.

Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.


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