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About the role
Key responsibilities & impact- Execute assigned audit engagements from planning through to reporting under the guidance of the Head of Audit.
- Conduct walkthroughs, document processes, and evaluate the design and operating effectiveness of internal controls.
- Perform comprehensive testing of IT General Controls (ITGCs) and automated or manual business process controls across key systems and platforms.
- Leverage direct system data extraction and automated testing techniques rather than relying solely on manual samples.
- Prepare clear working papers supporting audit conclusions using a proportionate, risk-based approach.
- Test compliance across group entities, including EU (MiFID II, AIFMD, UCITS, GDPR, AML), UK (FCA, SMCR, Consumer Duty), Hong Kong (SFC Code of Conduct, AML/CFT), and Dubai (DFSA Rulebook, AML).
- Stay informed of global regulatory developments while collaborating with local compliance teams to gather information and clarify expectations.
- Draft audit findings, discuss results with process owners, and agree on practical management action plans (MAPs).
- Monitor the status of open findings, rigorously validate remediation actions, and maintain accurate audit system records.
- Manage co-sourced and outsourced audit providers to ensure seamless, high-quality execution of specialized reviews.
- Assist the Head of Audit with Audit Committee materials, support external audits, and coordinate regulatory examinations.
- Contribute to continuous improvement initiatives, specifically driving the development of data analytics and continuous auditing capabilities.
Requirements
What you’ll need- Bachelor's degree in Law, Compliance, Accounting, Finance, Business Administration, Information Systems, or a related field.
- Professional certification completed or actively in progress: CIA, CISA, CAMS (ACAMS), or a recognized regulatory compliance qualification (e.g., ICA Diploma).
- A commitment to obtaining additional relevant specialized certifications (e.g., CISA, CRISC, CRMA) is highly valued.
- 5+ years of experience in internal audit, external audit, or risk/compliance roles.
- Experience auditing or working closely within the investment space, such as brokerages, exchanges, trading platforms, wealth management, or fast-paced fintech environments.
- Exposure to at least two of the following regulatory environments is advantageous: EU, UK, Hong Kong, or Middle East (DIFC/DFSA).
- Familiarity with audit management software and the Microsoft Office suite (particularly advanced Excel).
Benefits
Comp & perks- Health coverage
- Remote work opportunities
- Professional development
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
IT General Controls TestingRisk-Based Audit ApproachProcess DocumentationAutomated Testing TechniquesCompliance Testing
Soft Skills
Effective CommunicationCollaborationProblem-Solving
Certifications
CIACISACAMSICA DiplomaCRISCCRMA