Internal Auditor
Department: Client Role
Employment Type: Permanent - Full Time
Location: London, UK
Description
We are currently representing a leading global Financial Services firm in the appointment of high-calibre professionals as part of a period of strategic growth and investment.
Our client operates at the intersection of corporate, fiduciary and regulatory services, partnering with private equity houses, investment managers and international financial institutions. Backed by long-term institutional investment and an established global brand, the firm is scaling its capabilities, technology and international footprint.
This is an opportunity to join a business that combines the agility of a growth platform with the credibility, client base and governance of a market leader.
The Role
An opportunity has arisen for an Internal Auditor to join our Internal Audit function, with a particular focus on Compliance (Anti-Money Laundering and Financial Crime) and Corporate Governance. The role will operate as the third line of defence to monitor the design adequacy and operational effectiveness of our business policy frameworks, procedures and controls.
Key Responsibilities
- Conduct internal audits as required by local and global regulators, testing the design and operational effectiveness of the Compliance and Corporate Governance controls.
- Assist the Senior Internal Audit Manager with ad hoc audits as and when required.
- Maintain robust internal audit methodology including audit documentation with clear terms of reference, working papers and reports.
- Escalate findings of the audits to key senior stakeholders with recommendations to remediate agreed actions.
- Maintain a system to monitor and track the agreed remedial actions, ensuring any control gaps are remediated in a timely manner.
- Conduct on an ongoing basis, a sample of file reviews of matters opened across all offices. The Internal Auditor will be responsible for testing compliance with on policies and regulatory requirements.
- Assist in reporting findings of the file reviews to the relevant Money Laundering Reporting Officers and Chief Risk & Compliance Officer.
- Provide recommendations on improvements on Compliance policies and procedures.
- Carry out any other duties commensurate with the purpose of the role, including the performance of duties outside working hours when required and work in a flexible manner.
What is Necessary for Success
- Graduate with at least 3 years' experience in an international compliance function role with a focus on Compliance and financial crime; preferably in a law firm, professional services or financial services environment.
- Internal Audit experience and relevant qualifications are highly desirable.
- Previous experience of regulatory regimes in the Cayman Islands, Bermuda, BVI, UAE, Hong Kong and UK are highly desirable.
- Previous experience of Corporate Governance frameworks is desirable.
- Practical knowledge and experience of applying a risk based approach to Compliance.
- Knowledge of sanctions regimes, PEPs and other high-risk categories; understanding of complex corporate structures and SPV's.
- Excellent oral and written communication skills and ability to communicate with senior stakeholders and external regulators.
- Strong research and analytical skills and attention to detail.
- Strong observation skills.
- Ability to work independently and as part of a team
- Ability to work under pressure and respond promptly to internal and external deadlines.
- Able to prioritise competing demands; excellent time management and organisational skills.
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