Audit Professional Jobs in Minnesota (NOW HIRING)

Audit Planning & Risk Assessment

• Own and maintain a risk-based audit plan for Capital Markets and broker-dealer activities, including identification of auditable entities, risk assessment, audit cycle planning, and alignment with enterprise audit priorities.

• Monitor emerging risks, regulatory expectations, business changes, integrations, and market developments; adjust audit coverage and continuous monitoring activities accordingly.

• Lead audit universe maintenance and overall audit strategy for assigned Capital Markets coverage areas.

• Provide senior-level perspective on the quality of risk management, control environment trends, and coverage needs for Capital Markets and broker-dealer activities.

Audit Execution & Quality Assurance

• Oversee the planning, scoping, execution, issue validation, and reporting of complex audit engagements across Capital Markets activities.

• Evaluate and challenge the design and operating effectiveness of controls across business processes, systems, products, and activities.

• Ensure audit workpapers, testing, issue documentation, and reporting meet CAS policies, IIA Standards, and internal quality expectations.

• Review and approve audit deliverables, including risk assessments, engagement plans, workpapers, issue write-ups, management action plans, and final reports.

• Drive consistent, timely, and high-quality execution across multiple engagements, priorities, and audit resources.

Stakeholder Engagement & Reporting

• Build and maintain trusted relationships with business line leadership, risk, compliance, operations, technology, and other assurance functions.

• Provide credible challenge on risk identification, control design, control effectiveness, remediation plans, and management responses.

• Communicate audit results, themes, emerging risks, and insights to senior management, governance forums, and CAS leadership.

• Partner across the three lines of defense to support coordinated and effective audit coverage, while maintaining CAS independence and objectivity.

People Leadership & Talent Development

• Lead, manage, coach, and develop a team of audit professionals supporting Capital Markets audit coverage.

• Set clear performance expectations, provide timely feedback, support career development, and foster accountability for high-quality execution.

• Manage staffing, resource allocation, engagement assignments, and workload across assigned audit activities.

• Support recruiting, onboarding, retention, succession planning, and development of specialized Capital Markets audit talent.

• Promote an inclusive, collaborative, and results-oriented team culture aligned with CAS expectations.

Leadership & Execution Support

• Lead or support cross-functional audits, enterprise initiatives, regulatory remediation reviews, integrations, system changes, and special projects as needed.

• Coordinate internal staff, subject matter specialists, and co-sourced resources to deliver audit objectives effectively.

• Contribute to CAS methodology, quality, reporting, and continuous improvement initiatives.

• Strong audit experience covering trading-related activities, including institutional equities trading, electronic and systematic trading models, outsourced trading, prime brokerage, and capital markets products, with exposure to associated risk, compliance, and control frameworks across U.S., U.K., and Asia.

• Subject matter expertise in multi-product capital markets and broker-dealer audit domain, including front-to-back business and operating models, sales and trading, risk and control functions, clearing and settlement, supporting technology platforms, and global operating structures.

• Strong knowledge of audit, risk, and compliance frameworks, including IIA Standards and internal control principles.

• Advanced analytical, critical thinking, and problem-solving skills, with the ability to assess complex products, processes, risks, and control environments.

• Strong business acumen and ability to build credibility with senior business line and control partners.

• Excellent written and verbal communication skills, including the ability to effectively engage senior stakeholders and governance forums.

• Proven ability to manage and deliver complex initiatives, such as integrations, system changes, regulatory remediation, and cross-functional audit coverage.

• Strong leadership, coaching, performance management, and team development skills.

• Professional certifications preferred, such as CIA, CPA, or CISA.