Temporary Audit Manager – Volcker Rule Compliance (Global Banks)

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Temporary Audit Manager – Volcker Rule Compliance

Global Bank – Internal Audit & Supervisory Design

Location: Preferred on-site in New York, NY or Charlotte, NC (3–4 days/week)
Remote considered for highly qualified candidates

About the Role

RSM is seeking a Temporary Audit Manager to support the Internal Audit function (3rd Line of Defense) of a global banking client, with a focus on Volcker Rule compliance and the design of control frameworks.

This role combines internal audit, risk, and supervisory design work, engaging directly with trading desks, brokers, and capital markets supervisory teams. The successful candidate will help build and strengthen governance frameworks and controls from the ground up, working across all Three Lines of Defense (3LOD).

We are seeking professionals with strong knowledge of capital markets, experience in designing and testing controls, and the ability to collaborate with senior stakeholders on the trading floor and in oversight functions.

Key Responsibilities

• Lead or support Volcker Rule reviews, from planning and fieldwork through reporting.

• Collaborate with business (1LOD), risk/compliance (2LOD), and audit (3LOD) to design and enhance supervisory control frameworks.

• Engage with trading desks, brokers, and supervisory staff to evaluate daily activities, oversight processes, and governance.

• Assess both the design and effectiveness of controls, and assist in building or refining them where needed.

• Test trade surveillance systems and oversight mechanisms to ensure compliance with regulatory requirements.

• Deliver clear, actionable recommendations on governance and control improvements.

• Provide subject matter expertise on Volcker Rule requirements, supervisory governance, and implementation.

Qualifications

• Minimum 7 years of experience in internal audit, risk & controls, compliance, or supervisory roles within capital markets or trading environments.

• Strong understanding of the Three Lines of Defense model, with the ability to work collaboratively across all lines.

• Demonstrated expertise in designing and evaluating controls, particularly in trading-floor and supervisory contexts.

• In-depth knowledge of the Volcker Rule and its impact on trading desks and governance structures.

• Prior experience at a large, global banking institution, with exposure to front-office and supervisory functions.

• Excellent communication, analytical, and documentation skills; able to translate complex regulatory requirements into actionable solutions.

Preferred Backgrounds

• Internal auditors with experience designing or enhancing capital markets supervisory control frameworks.

• Compliance, risk, or supervisory professionals with trading-floor experience who have transitioned into audit roles.

• Former regulators or consultants with expertise in trading-related controls and compliance.

At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.

All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status