Senior Internal Auditor

London - UK

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

The job posting is outdated and position may be filled

Job Summary

We are seeking a highly analytical and detail-oriented Internal Auditor to join our UK office. This role plays a critical part in assessing and enhancing the effectiveness of our internal controls compliance frameworks and risk management processes across all business functions. The ideal candidate will have a deep understanding of financial regulations (especially within the DIFC/DFSA/SCA context) business operations in a digital brokerage environment and the agility to audit dynamic and cross-functional teams.

Responsibilities:

Audit Planning & Methodology: Develop structured internal audit plans and methodologies for UK aligned with global strategies and FCA regulatory standards covering governance risk assessment audit execution and clear definition of audit team roles and responsibilities. Coordinate seamlessly with internal stakeholders and external auditors to ensure effective annual planning and execution.
Risk & Compliance Assessment: Conduct thorough evaluations to identify control gaps non-compliance with regulations operational inefficiencies and emerging business risks across compliance finance operations customer support back office and marketing functions.
AML Compliance Reviews & Independence: Independently conduct comprehensive assessments of the AML compliance program at least every two years. Reviews must include AML risk assessments effectiveness of policies enhanced due diligence procedures ongoing monitoring activities suspicious activity reporting IT systems compliance administrative controls professional training effectiveness and record keeping practices. Regulatory Compliance Auditing: Execute detailed regulatory audits specifically targeting areas such as Anti-Money Laundering (AML) Know Your Customer (KYC) client onboarding suitability assessments FCA compliance complaint handling procedures disclosures and related record keeping practices.
Cybersecurity & Data Protection Audits: Evaluate cybersecurity frameworks data privacy governance and incident-response capabilities identifying potential digital vulnerabilities and recommending corrective measures.
Audit Reporting & Governance Communication: Regularly prepare and present detailed audit findings and actionable recommendations directly to senior management and the UK Board ensuring transparency and informed decision-making. Maintain detailed audit records findings and recommendations securely for at least ten years as per regulatory guidelines.
Stakeholder Engagement & Issue Resolution: Actively collaborate with departmental leads and senior stakeholders facilitating the timely implementation of audit recommendations and proactively tracking the resolution of identified issues to enhance internal controls continuously.
Investigations & Records Access: Lead ad hoc investigations into suspected fraud data breaches or whistleblower reports ensuring unrestricted and timely access to all required records documentation and personnel to fulfill audit responsibilities effectively.

Requirements:

Industry Experience: 46 years in internal audit within financial services fintech or capital markets ideally with hands-on experience auditing compliance programs AML processes digital products and customer-facing operations.
Regulatory & Audit Framework Expertise: In-depth knowledge of UK financial regulations specifically DIFC DFSA SCA AML and KYC frameworks. Proven expertise in developing and executing structured internal audit methodologies aligned explicitly with SCA and other relevant regulatory standards.
Operational Know-how: Demonstrated ability to audit sophisticated technology platforms automated controls and data-driven processes effectively identifying risks and providing actionable insights.
Critical Thinking & Integrity: Exceptional analytical and critical thinking skills paired with excellent communication abilities ensuring sensitive issues are handled with utmost confidentiality independence and objectivity.
Adaptability & Cross-functional Collaboration: Proven ability to excel in dynamic multicultural and cross-border team environments comfortably navigating rapid growth and change.
Education & Certifications: Bachelors degree in Accounting Finance Business or related field. Professional certifications such as CIA ACCA CPA CISA or CAMS strongly preferred.

What you will get in return:

Competitive Salary:We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
Work-Life Harmony:Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
Annual Performance Bonus:Your hard work doesnt go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
Generous Time Off:Need a breather Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
Employee Referral Program:Love working here Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
Comprehensive Health & Pension Benefits:From medical insurance to pension plans weve got your back. Plus location-specific benefits and perks!
Workation Wonderland:Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
Volunteer Days:Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Be a key player at the forefront of the digital assets movement propelling your career to new heights!Join a dynamic and rapidly expanding company that values and rewards talent initiative and alongside one of the most brilliant teams in the industry.

Required Experience:

Senior IC

Responsibilities:

Audit Planning & Methodology: Develop structured internal audit plans and methodologies for UK aligned with global strategies and FCA regulatory standards covering governance risk assessment audit execution and clear definition of audit team roles and responsibilities. Coordinate seamlessly with internal stakeholders and external auditors to ensure effective annual planning and execution.
Risk & Compliance Assessment: Conduct thorough evaluations to identify control gaps non-compliance with regulations operational inefficiencies and emerging business risks across compliance finance operations customer support back office and marketing functions.
AML Compliance Reviews & Independence: Independently conduct comprehensive assessments of the AML compliance program at least every two years. Reviews must include AML risk assessments effectiveness of policies enhanced due diligence procedures ongoing monitoring activities suspicious activity reporting IT systems compliance administrative controls professional training effectiveness and record keeping practices. Regulatory Compliance Auditing: Execute detailed regulatory audits specifically targeting areas such as Anti-Money Laundering (AML) Know Your Customer (KYC) client onboarding suitability assessments FCA compliance complaint handling procedures disclosures and related record keeping practices.
Cybersecurity & Data Protection Audits: Evaluate cybersecurity frameworks data privacy governance and incident-response capabilities identifying potential digital vulnerabilities and recommending corrective measures.
Audit Reporting & Governance Communication: Regularly prepare and present detailed audit findings and actionable recommendations directly to senior management and the UK Board ensuring transparency and informed decision-making. Maintain detailed audit records findings and recommendations securely for at least ten years as per regulatory guidelines.
Stakeholder Engagement & Issue Resolution: Actively collaborate with departmental leads and senior stakeholders facilitating the timely implementation of audit recommendations and proactively tracking the resolution of identified issues to enhance internal controls continuously.
Investigations & Records Access: Lead ad hoc investigations into suspected fraud data breaches or whistleblower reports ensuring unrestricted and timely access to all required records documentation and personnel to fulfill audit responsibilities effectively.

Requirements:

Industry Experience: 46 years in internal audit within financial services fintech or capital markets ideally with hands-on experience auditing compliance programs AML processes digital products and customer-facing operations.
Regulatory & Audit Framework Expertise: In-depth knowledge of UK financial regulations specifically DIFC DFSA SCA AML and KYC frameworks. Proven expertise in developing and executing structured internal audit methodologies aligned explicitly with SCA and other relevant regulatory standards.
Operational Know-how: Demonstrated ability to audit sophisticated technology platforms automated controls and data-driven processes effectively identifying risks and providing actionable insights.
Critical Thinking & Integrity: Exceptional analytical and critical thinking skills paired with excellent communication abilities ensuring sensitive issues are handled with utmost confidentiality independence and objectivity.
Adaptability & Cross-functional Collaboration: Proven ability to excel in dynamic multicultural and cross-border team environments comfortably navigating rapid growth and change.
Education & Certifications: Bachelors degree in Accounting Finance Business or related field. Professional certifications such as CIA ACCA CPA CISA or CAMS strongly preferred.

What you will get in return:

Competitive Salary:We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
Work-Life Harmony:Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
Annual Performance Bonus:Your hard work doesnt go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance.
Generous Time Off:Need a breather Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
Employee Referral Program:Love working here Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
Comprehensive Health & Pension Benefits:From medical insurance to pension plans weve got your back. Plus location-specific benefits and perks!
Workation Wonderland:Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
Volunteer Days:Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Required Experience:

Senior IC

Key Skills

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About Company

Capital.com

Enjoy online trading like never before. With Capital.com’s app, you can discover investment opportunities on leading financial markets. Access the latest trading insights at the touch of a button, as well as in-depth educational features, comprehensive financial analysis and the day’s ... View more

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