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About the Role
We are seeking an Advisor to join our Internal Audit team, offering a career development opportunity within a regulated financial services environment. You will support risk-based audits, assess governance, risk management, and internal control frameworks, conduct fieldwork, analyze findings, and contribute to high-quality audit reports.
Responsibilities
- Deliver internal audit assignments across designated business areas.
- Develop audit scopes and audit plans for assigned reviews.
- Conduct audit fieldwork, assess controls, and identify risks, gaps, and areas for improvement.
- Prepare clear, concise audit findings and support the production of audit reports.
- Agree corrective actions with auditees and escalate significant issues to the Lead Auditor where appropriate.
- Gather, collate, and analyse data to identify key themes, trends, and control issues.
- Prepare complex documentation, reports, and audit working papers using standard business applications.
- Identify instances of non-compliance with internal policies, procedures, and regulatory requirements.
- Support stakeholder engagement activities by arranging meetings, preparing supporting materials, and fostering positive working relationships.
- Monitor key risk indicators and escalate deviations in line with established risk management frameworks.
Requirements
- A good understanding of IIA Standards and internal audit methodology.
- A good understanding of the UK Corporate Governance Code and FCA regulatory expectations.
- A good understanding of UK financial services regulation, including SMCR, MiFID II and Basel III.
- A good understanding of internal control and risk management frameworks such as COSO.
- A good understanding of financial services products and operations, ideally within wealth management.
- A good understanding of investment concepts and securities industry practices.
- Experience supporting or delivering internal audit reviews.
- Strong analytical and problem-solving skills.
- The ability to identify trends, root causes, and control weaknesses.
- Excellent written and verbal communication skills.
- Strong stakeholder engagement and relationship-building skills.
- A risk-focused mindset with the ability to apply professional scepticism.
- The ability to adapt to changing regulatory, business, and technology environments.
Skills
- Analytical skills
- Problem-solving skills
- Written communication skills
- Verbal communication skills
- Stakeholder engagement skills
- Relationship-building skills
Experience Level
- Relevant experience within Internal Audit, Risk, Compliance, or Financial Services.
Education Level
- Bachelor's degree in Finance, Accounting, Business Administration, or a related discipline.
- Relevant professional qualification such as ACA, ACCA, CA, CIA, CPA, CFSA, CCSA, or CGAP is advantageous.
- Master's degree or equivalent professional qualification would be beneficial.