Temporary Audit Manager – Volcker Rule Compliance (Global Banks)

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Temporary Audit Manager – Volcker Rule Compliance (Global Banks)

Location: On-site (3–4 days/week) – New York, NY or Charlotte, NC

Overview:

RSM is seeking experienced professionals to support a global bank’s Internal Audit (3rd Line of Defense) function focusing on Volcker Rule compliance. This role is ideal for individuals with deep expertise in internal audit, risk and control frameworks, and regulatory compliance across trading and capital markets environments. Candidates must have at least 7 years of relevant experience, prior experience working within a large global banking institution.

Key Responsibilities:

• Lead or support audit reviews related to Volcker Rule compliance, including scoping, planning, fieldwork, and reporting.

• Assess the design and operational effectiveness of controls supporting Volcker Rule adherence across trading and surveillance functions.

• Conduct detailed testing of trade surveillance systems and trading desk oversight processes.

• Identify control gaps or compliance risks and deliver clear, well-supported audit findings.

• Collaborate with first and second line stakeholders to evaluate remediation efforts and ensure effective control implementation.

• Provide subject matter expertise on Volcker Rule interpretation, documentation, and audit application across the organization.

Qualifications:

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

• Strong understanding of the Three Lines of Defense (3LOD) model, with direct experience in the 3rd Line/Internal Audit function.

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

• Prior experience working at a large, global banking institution is required.

• Proven ability to lead or manage audit engagements and interact with senior stakeholders.

• Excellent analytical, communication, and documentation skills, with the ability to synthesize complex regulatory content into actionable insights.

Preferred Backgrounds Include:

• Internal auditor leading or supporting Volcker- or capital markets-focused audits

• Compliance or risk professional with a rotation or transition into Internal Audit

• Former regulator or consultant with audit experience in trading-related compliance reviews

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; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or s