A global leader in investment banking and financial services is seeking an experienced Internal Auditor to join the Compliance & Legal Internal Audit team, with a focus on Regulatory Compliance and Market Conduct. In this role, you will conduct independent audits across the firm’s compliance frameworks, including divisional compliance, market conduct risk, and surveillance activities (electronic communications and transaction surveillance). You will assess the design and operating effectiveness of internal controls that support adherence to regulatory obligations and internal policies. You will perform detailed testing and walkthroughs of key compliance processes, such as trade and communications surveillance, conduct risk controls, regulatory governance, policy implementation, and issue management. The role requires close collaboration with stakeholders across compliance, legal, risk, technology, and business functions to evaluate regulatory alignment and control standards.
You will be responsible for producing clear, well‑structured audit reports, articulating findings and risk themes to senior management, and tracking remediation efforts. Staying current on evolving regulatory expectations, market conduct standards, and supervisory priorities will be critical to success in this role.
Please note, this is a 6 month contract with potential extensions and would require you to be on-site 5 days a week out of the office in either London or Birmingham.
MUST-HAVES
- Strong internal audit experience, ideally within global financial institutions.
- Proven experience auditing Regulatory Compliance, Divisional Compliance, Market Conduct Risk, or Surveillance functions.
- Strong background in risk identification, control assessment, and evaluation of design and operating effectiveness.
- Solid understanding of compliance frameworks, regulatory expectations, and governance standards within financial services.
- Demonstrated experience applying internal audit methodology across planning, fieldwork, and reporting phases.
- Ability to interpret and apply relevant regulatory requirements, supervisory guidance, and industry best practices.
- Confidence engaging with and constructively challenging senior stakeholders.
- Excellent written and verbal communication skills, with the ability to clearly articulate complex audit issues and risks.
PLUSSES
- Professional certifications such as CIA (Certified Internal Auditor) or equivalent.
- Bachelor’s degree in Finance, Economics, Law, Business Administration, or a related discipline.
- Experience working within global regulatory environments (e.g., FCA, PRA, SEC, FINRA, ESMA).
- Exposure to electronic communications surveillance, trade surveillance, or conduct risk frameworks.
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