Senior Manager Internal Audit & Compliance

Robert Walters
Central London, UK
20 May 2019
23 May 2019
Contract Type
Full Time
is seeking a Senior Manager Internal Audit &Compliance to work in an independent team function responsible for providing assurance and advisory services covering all the organisations business functions and activities.

The successful individual will be involved in all aspects of the Internal Audit group's risk assessment, assurance and advisory activities, including audit planning and execution, and contributing to strategic initiatives. The role will encompass all front-line activities, as well as support functions such as IT, Operations, Finance, Tax, Legal, Compliance and HR.

  • Assisting the Head of Internal Audit in all aspects of their work.
  • Assisting with development of the Internal Audit Plan through direct input, as well as insights and perspectives relating to current business, industry and regulatory risk factors.
  • Identifying and assessing current and emerging risks, themes and trends and maintaining the audit risk universe and related risk assessments.
  • Undertaking audits to examine and assess the adequacy and effectiveness of the Firm's risk management procedures, internal controls systems, information systems and governance arrangements.
  • Managing and executing audits relating to the company's business functions and related activities, including those relating to our books and records, and provide opinion upon the accuracy and integrity of financial statements, management information and other accompanying/complementary statements.
  • Undertaking advisory activities in relation to key projects and other initiatives undertaken by our business, its management bodies and/or heads of the various business units.
  • Performing special investigations, reviews and assessments initiated by the CEO, members of the Board of Directors and Senior Management.
  • Proposing appropriate/proportionate recommendations to address risks or control weaknesses identified, or where process and/or cost efficiencies are identified.
  • Tracking the resolution of audit findings to ensure that they are addressed by the corrective action owners in a timely manner.
  • Producing periodic reports on Internal Audit activity for Audit Committee and Senior Management.

Qualifications/Skills and Competencies:

    • Professionals Auditor with several years of audit experience gained within the financial services sector, particularly investment banking (trading) and brokerage firms, or from an internal or external audit practice.
      • IIA, ACA, ACCA or equivalent qualification (ideally up to 4 or more years post qualification experience) with a good understanding of international audit standards
        • Demonstrable knowledge of all aspects of audit engagement, including planning and risk assessment, examination and fieldwork (including testing and sampling methods), reporting and follow-up of audit actions.
          • Strong written and verbal communications skills, including the ability to write clear and concise audit reports and effectively express verbal and written viewpoints to different levels of management.
            • Excellent understanding of current regulatory requirements.
              • Strong understanding or risks and internal control frameworks, as well as good practice principles applicable to governance arrangements, systems and controls (across product groups), operational processes, monitoring and assurance activities, and effective reporting.
                • Effective time management, with the ability to work across several audit engagements and/or business projects at the same time.
                  • Ability to maintain professional standards and strict independence and integrity in all aspects of work.
                    • Ability to develop and maintain effective working relationships with stakeholders at all levels of the business.
                      • Commitment and strong work ethic, with an aptitude to work independently or as part of a larger team.
                      • Strong Computer skills, specifically MS Office products and SharePoint.
                      • Good understanding of Compliance / Fraud Issues and Regulation

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