Compliance Audit Manager

About the Role

We are seeking a motivated Compliance Audit Manager to join our Group Internal Audit function. Working alongside the Head of Internal Audit, you will play a key role in delivering the annual audit plan across our regulated entities in the European Union, United Kingdom, Hong Kong, and Dubai.

This is a digital-first, risk-based internal audit function aligned with our fintech operating model. We operate in an environment of automated processes, API-driven integrations, cloud infrastructure, and rapid product iteration. We expect Internal Audit to be pragmatic and technology-enabled, leveraging data and system access rather than relying on traditional, document-heavy approaches.

This is an excellent opportunity for an experienced audit professional to further develop broad exposure to multi-jurisdictional regulatory frameworks, technology-driven business operations, and senior stakeholders within an international group.

Key Responsibilities

Audit Execution

• End-to-End Delivery: Execute assigned audit engagements from planning through to reporting under the guidance of the Head of Audit.
• Controls Evaluation: Conduct walkthroughs, document processes, and evaluate the design and operating effectiveness of internal controls.
• Technology & Process Testing: Perform comprehensive testing of IT General Controls (ITGCs) and automated or manual business process controls across key systems and platforms.
• Data-Driven Approach: Leverage direct system data extraction and automated testing techniques rather than relying solely on manual samples.
• Documentation & Risk Focus: Prepare clear working papers supporting audit conclusions using a proportionate, risk-based approach.

Regulatory & Compliance Testing

• Multi-Jurisdictional Compliance: 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).
• Horizon Scanning & Coordination: Stay informed of global regulatory developments while collaborating with local compliance teams to gather information and clarify expectations.

Reporting, Follow-up & Collaboration

• Reporting & Action Plans: Draft audit findings, discuss results with process owners, and agree on practical management action plans (MAPs).
• Remediation Tracking: Monitor the status of open findings, rigorously validate remediation actions, and maintain accurate audit system records.
• Co-Sourcing Management: Manage co-sourced and outsourced audit providers to ensure seamless, high-quality execution of specialized reviews.
• Leadership & External Support: Assist the Head of Audit with Audit Committee materials, support external audits, and coordinate regulatory examinations.
• Audit Innovation: Contribute to continuous improvement initiatives, specifically driving the development of data analytics and continuous auditing capabilities.

Job Requirements

Education and Certification

• 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.

Experience

• 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).

Skills and Competencies

• Methodology: Solid understanding of internal control concepts and modern audit methodologies.
• Digital Fluency: Ability to understand automated processes, complex system workflows, and cloud-based technology architectures.
• Data Analytics: Strong analytical skills with the ability to extract, manipulate, and analyze data directly from systems.
• Communication: Excellent written and verbal communication skills, with the ability to articulate complex risks clearly to non-audit stakeholders.
• Execution: Proactive, curious, and eager to learn, with the ability to manage time effectively and meet deadlines across multiple assignments.
• Professionalism: Strong interpersonal skills, collaborative mindset, and a high level of integrity.
• Work Environment: Comfort working effectively in a lean, remote-first team environment.

Desirable Attributes (Nice to Have)

• Deep knowledge of the COSO framework and IIA Standards.
• Hands-on exposure to IT general controls (ITGCs).
• Understanding of API-based integrations and enterprise SaaS platforms.
• Experience with data analytics tools and languages (e.g., SQL, Python, Power BI, ACL, IDEA).