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VP, Internal Auditor; Compliance

Eximius Finance
London, United Kingdom
£90k - £100k
Closing date
Mar 16, 2024

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Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
Responsibilities will include but not be limited to the following:
  • Contributing to the effective and efficient execution of internal audits from planning to reporting and supporting the Internal Audit Director in all aspects of delivery.
  • Monitoring and reporting on the timely and effective remediation of audit findings, which involves maintaining a follow-up process with the auditees, where applicable. You will be expected to anticipate and escalate delays and issues in relation to the remediation of findings.
  • Contributing to the annual risk assessment and continuous audit monitoring activities, under the supervision of a Head of Portfolio. This activity forms the basis of the annual audit plan and possible mid-year adjustments to audit coverage.
  • Contributing to the preparation of presentations used for various committees where Internal Audit is represented.

Knowledge of regulatory landscape (mainly FCA but also potentially US regulators). In addition, comfortable and experienced with audit methodologies in other banks, including strong experience of Conduct Risk and Market Integrity Regulatory Compliance frameworks in Investment Banks, specifically:
  • Trade & Communications Surveillance
  • Control Room/information barriers
  • Conflicts of Interest
  • Personal Account Dealing
  • Behaviour/Ethics

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