- Company Name
- Capital.com
- Job Title
- Senior Internal Auditor
- Job Description
-
Job Title: Senior Internal Auditor
Role Summary:
- Lead independent, structured internal audits across all business functions, enhancing control effectiveness and compliance with global and UK regulatory frameworks.
- Drive continuous improvement in governance, risk management, and internal controls, ensuring alignment with FCA, DIFC/DFSA/SCA, AML, and KYC requirements.
Expectations:
- Deliver comprehensive audit plans, findings, and actionable recommendations to senior management and board.
- Ensure timely resolution of audit findings and monitor implementation of remedial actions.
- Maintain confidentiality, independence, and objectivity throughout audit engagements.
Key Responsibilities:
- Develop and execute audit plans and methodologies aligned with global strategy and FCA standards.
- Perform risk and compliance assessments across finance, operations, customer support, back‑office, and marketing.
- Conduct independent AML compliance reviews (≥ 2 years) covering risk assessment, policy effectiveness, DDA, monitoring, SARs, IT controls, training, and record‑keeping.
- Audit regulatory areas including AML, KYC, onboarding, suitability, complaint handling, disclosures, and related record‑keeping.
- Evaluate cybersecurity and data protection frameworks, identify vulnerabilities, and recommend remediation.
- Prepare and present audit findings to senior management, board, and external auditors; maintain audit repository for ≥10 years.
- Coordinate investigations of fraud, data breaches, and whistleblower reports, ensuring full access to records and personnel.
- Engage stakeholders, facilitate implementation of recommendations, and track issue resolution.
Required Skills:
- Advanced analytical and critical thinking.
- In-depth knowledge of UK, DIFC, DFSA, SCA, AML, KYC, FCA, and related regulatory frameworks.
- Experience auditing digital brokerage environments and complex technology platforms with automated controls.
- Proficiency in audit planning, risk assessment, and methodology development.
- Strong written and verbal communication; ability to present findings to executive audiences.
- Stakeholder management and cross‑functional collaboration skills.
- Investigation and forensic audit experience.
- Cybersecurity and data protection awareness.
Required Education & Certifications:
- Bachelor’s degree in Accounting, Finance, Business, or related field.
- Preferred professional certifications: CIA, ACCA, CPA, CISA, or CAMS.