{"id":1929669,"url":"https://alion.io/job/marex-principal-audit-manager-vn3230","title":"Principal Audit Manager (VN3230)","company":{"id":1821133,"name":"Marex","domain":"marex.com","url":"https://alion.io/company/marex-com","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Breezy","truth_index":{"grade":"B","score":84,"open_postings":12,"ghost_share":0,"stale_share":0.833,"repost_share":0,"time_to_fill_p50_days":17,"computed_at":"2026-10-24T06:02:35Z"}},"role":"Finance","role_family":"Finance","seniority":"lead","employment_type":"full_time","work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Chicago, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":120000,"max":150000,"currency":"USD","period":"year","gross":null,"usd_annual":150000},"salary_estimate":null,"experience_years_min":null,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-10-05T20:02:59Z","employer_posted_date":"2026-10-06","last_verified_at":"2026-10-24T04:32:18Z","board_verified":true,"closed_at":null,"days_open":18,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":18},"description":"About Marex\nMarex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.\nThe Audit team is a global function with presence in UK, US, Europe and Asia. The team consists of 29 individuals (i.e. 17 in London, 4 in Chicago, 4 in New York, 2 in Paris, and 2 in Singapore), with additional support sought from our co-source partners as required.\nRole Summary\nThe Principal Audit Manager will lead the delivery of internal audit activities across Marex's US regulated entities, with a primary focus on regulatory-required audits. Operating at a senior level within the US audit team, the role owns audit assignments end-to-end, from scoping and fieldwork through to findings, reporting, and management action follow-up, while coaching and reviewing the work of an Assistant Audit Manager.\nReporting to the Head of Internal Audit - North America, this role will own the US regulatory audit program and serve as the primary point of contact for senior business, compliance and legal stakeholders on matters relating to US regulatory audit coverage. The role requires deep knowledge of US financial services regulation, strong stakeholder engagement skills, and the ability to drive audit quality and delivery independently.\n\nOverall Responsibilities\nLead the U.S. regulatory audit program across broker-dealer, FCM, and swap dealer entities.\nDevelop and maintain the annual U.S. regulatory audit plan\nLead audits from planning through reporting, issue validation, and remediation tracking\nReview and approve audit workpapers, findings, and reports\nAssess control weaknesses and provide independent audit judgments\nMonitor regulatory developments and adjust audit coverage accordingly\nIncorporate regulatory trends and examination findings into audit programs\nEnsure coverage of key regulatory obligations, including capital, customer protection, AML, and supervisory controls\nBuild strong partnerships across Compliance, Legal, Risk, Operations, and business leadership\nPresent audit findings and insights to senior management\nProvide independent and constructive challenge to the business\nCoordinate with regulators and external auditors as needed\nManage, coach, and develop audit team members\nPromote a culture of quality, accountability, and continuous improvement\nOversee co-sourced and third-party audit resources\nSupport audit resource planning and talent development initiatives\nMaintain and update the U.S. regulatory audit universe and risk assessments\nSupport annual risk assessments and audit planning activities.\nAdhere to the firm's operational risk framework and regulatory requirements\nDemonstrate integrity, professionalism, and company values.\nComply with the Code of Conduct and internal policies.Escalate policy breaches and risk events appropriately\nContribute to risk management and control enhancement efforts\nThe Company may require you to carry out other duties from time to time.\nCompetencies, Skills, and Experience\nCompetencies\n7 or more of Internal Audit experience in a complex financial services organisation(s)\nDeep and demonstrable knowledge of US financial services regulations applicable to broker-dealers, FCMs, and Swaps Dealers\nProven track record of leading and delivering regulatory-required audits\nStrong command of risk-based audit methodology and internal control frameworks\nExcellent report writing skills, with the ability to communicate complex regulatory and control issues clearly to senior and executive audiences\nExperience managing relationships with senior business stakeholders\nFamiliarity with commodities, derivatives or cleared products businesses, including knowledge of exchange and clearing house rulebook requirements\nExperience in a global financial services firm with multiple regulated entities across jurisdictions.\nProficient in information technology skills\nWorking knowledge of data analytics tools applied in an audit context\nSkills and Experience\n7 or more of Internal Audit experience in a complex financial services organisation(s)\nDeep and demonstrable knowledge of US financial services regulations applicable to broker-dealers, FCMs, and Swaps Dealers\nProven track record of leading and delivering regulatory-required audits\nStrong command of risk-based audit methodology and internal control frameworks\nExcellent report writing skills, with the ability to communicate complex regulatory and control issues clearly to senior and executive audiences\nExperience managing relationships with senior business stakeholders\nFamiliarity with commodities, derivatives or cleared products businesses, including knowledge of exchange and clearing house rulebook requirements\nExperience in a global financial services firm with multiple regulated entities across jurisdictions.\nProficient in information technology skills\nWorking knowledge of data analytics tools applied in an audit context\nSalary Range: $120,000 to $150,000 per year and eligible for discretionary bonus.\nCompany Values\nBe collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients\nAct with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders\nBe adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.\nBe respectful - how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.\nNurture talent - we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support - for ourselves, and our teams.\nConduct Rules\nAct with integrity\nAct with due skill, care and diligence\nBe open and cooperative with the FCA, the PRA and other regulators (where applicable)\nPay due regard to the interests of customers and treat them fairly\nObserve proper standard of market conduct\nMarex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.\nIf you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.","description_format":"text","description_chars":7271,"description_truncated":false,"requirements":{"experience_years_min":null,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":null,"security_clearance":false,"languages":[]},"benefits":[],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Online Brokerage & Trading Platforms","Financial Data & Market Intelligence"],"lifecycle":[{"event":"open","at":"2026-10-05T21:28:13Z"}],"visa":[{"country":"US","licensed_sponsor":true,"evidence":"H-1B filings in 12 months: 6","filings_12m":6,"filings_prev_12m":17,"green_card_filings_12m":0,"median_offered_wage_usd":122500,"route":null,"cap_exempt":false,"checked_at":"2026-10-15T11:24:14+00:00","sources":["US Department of Labor: LCA disclosure data (H-1B, H-1B1, E-3)"],"filings_for_role_12m":0}],"liveness":{"score":31,"band":"fade","label":"Fading","p_open":1,"p_active":0.565,"p_room":0.55,"age_days":18,"expected_fill_days":17,"reasons":["conf:1","stale_co","velocity","win:tail"],"computed_at":"2026-10-24T06:02:35Z"},"pay":{"stated_usd_annual":150000,"is_top_pay":false},"html_url":"https://alion.io/job/marex-principal-audit-manager-vn3230","json_url":"https://alion.io/job/marex-principal-audit-manager-vn3230.json","meta":{"generated_at":"2026-10-24T08:03:16Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":11960,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-25T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":1821133},"rest":"https://alion.io/mcp/rest/get_company?id=1821133"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fmarex-principal-audit-manager-vn3230"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fmarex-principal-audit-manager-vn3230"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fmarex-principal-audit-manager-vn3230"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/marex-principal-audit-manager-vn3230\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fmarex-principal-audit-manager-vn3230"}]}