Compliance Audit Manager

EXANTE

Compliance Audit Manager in a global fintech firm navigating regulatory audits. Engage with various entities across the EU, UK, Hong Kong, and Dubai.

Posted 7/7/2026full-timeRemote • 🇭🇰 Hong KongMid-LevelSeniorWebsite

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.
5+ years of experience in internal audit, external audit, or risk/compliance roles.
Industry Background: Experience auditing or working closely within the investment space, such as brokerages, exchanges, trading platforms, wealth management, or fast-paced fintech environments.
Regulatory Exposure: Exposure to at least two of the following regulatory environments is advantageous: EU, UK, Hong Kong, or Middle East (DIFC/DFSA).
Tools: Familiarity with audit management software and the Microsoft Office suite (particularly advanced Excel).

Benefits

Comp & perks

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.

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

IT General Controls TestingProcess EvaluationData Extraction TechniquesAudit ReportingCompliance Testing

Soft Skills

Effective CommunicationCollaborationProblem-Solving