Principal Audit Manager

A financial services organization is seeking a Principal Audit Manager – Regulatory Audits to lead regulatory-required internal audits across its US-regulated entities. This role will focus on broker-dealer, swap dealer, and futures commission merchant (FCM) operations, with an emphasis on regulatory compliance, risk management programs, and audits required to maintain regulatory obligations. This is a senior, hands-on individual contributor role with ownership of the audit process from planning and scoping through fieldwork, reporting, and issue follow-up. The successful candidate will independently lead audit assignments, work closely with business and compliance stakeholders, and provide guidance to an Associate Auditor. The position is suited to an experienced regulatory audit professional who can operate with limited oversight and deliver high-quality work.