54 Internal Audit Director jobs in the United Kingdom

Director, Internal Business Audit

London, London Tradeweb

Posted 15 days ago

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**Group Details**
Tradeweb is seeking a Director, Business Audit, Internal Audit to take on a key leadership role within Tradeweb's growing Internal Audit Department. This role will report directly to the Chief Audit Executive and play a vital role in management of the internal audit function.
This role offers a unique opportunity to help shape the business audit strategy for a cutting-edge financial services company, including working with senior leadership and the business, technology and corporate teams to assess risk; developing and executing the audit strategy; assisting the Chief Audit Executive to deliver the Internal Audit Plan; and managing and developing the Business Audit team.
**Job Responsibilities**
Assist the Chief Audit Executive in developing and executing the internal audit strategy, ensuring alignment with the company's strategic objectives and regulatory requirements
Agree Key Performance Indicators (KPIs) for the Business Audit team with the Chief Audit Executive and provide regular updates on performance against these KPIs
Develop and maintain a risk-based Business Audit Universe and conduct regular risk assessments to enable adequate internal audit coverage of business risk areas and Tradeweb entities
Develop annual risk-based business and country audit plans and oversee the timely delivery of planned audits and other reviews
Work with the Data Analytics and Technology Audit teams to develop and execute a continuous auditing program for key risk areas
Work with the technology and Data Analytics audit teams in delivery of integrated audits and other reviews that require a combined effort
Collaborate with second line of defense teams (e.g. Risk) in identification of current and emerging risks, and coordinate assurance and advisory coverage of key risk areas
Conduct regular follow-up and monitoring of open internal audit findings and control deficiencies to facilitate on-time remediation by stakeholders
Enhance the Internal Audit brand equity and reputation by positioning the technology audit team as trusted advisors to stakeholders
Drive continuous improvement in the team by leveraging industry leading practices and work with the Data Analytics team to adopt emerging technologies and tools, where relevant
Support the walkthrough and testing of internal controls in compliance with Sarbanes Oxley (SOX) and for SOC reporting, as needed
Coordinate with the SOC/SOX testing team to identify and leverage off synergies for control testing
Develop and deliver presentations to the Audit Committee and senior leadership, as needed
Serve as a mentor and coach for the Internal Audit team, driving their career development, training and skills development.
**Qualifications**
10+ years of internal control assurance experience, with a focus on Audit professional practices, risk management and audit delivery, including 5+ years in a leadership role, Big 4 Audit experience a plus
Bachelor's degree in Accounting, Finance, Business Administration, Mathematics, Engineering or a related field
Experience in / knowledge of the financial services industry, with an understanding of the associated risks and regulatory landscape, specific FinTech / Broker Dealer experience a plus
Professional certifications such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Information Systems Auditor (CISA), or equivalent are highly desirable
Analytical, critical thinking, problem solving and decision-making skills
Leadership skills with a track record of supervising and developing staff
Strategic thinking skills - ability to think big picture and identify linkages across projects and business areas
Strong communication and interpersonal skills and desire to work collaboratively
Track record of building relationships within the team and across all layers of the organization, including senior management
Organizational and project management skills
**Company Description**
Tradeweb is a global leader in electronic trading for rates, credit, equities, and money markets. As financial markets become increasingly interconnected, our technology enables efficient, multi-asset trading on a global scale. We serve more than 3,000 clients in more than 85 countries, including many of the world's largest banks, asset managers, hedge funds, insurers, corporations, and wealth managers.
Creative collaboration and sharp client focus have helped fuel our organic growth. We facilitated average daily trading volume (ADV) of more than $2.2 trillion over the past four fiscal quarters, topping $2.5 trillion in ADV for the first quarter of 2025.
Since our IPO in 2019, Tradeweb has completed four acquisitions and doubled our revenues - and 2024 was our 25th consecutive year of record revenues.
Tradeweb is a great place to work, recognized in 2024 by Forbes as one of _America's Best Companies_ (2024) and by U.S. News & World Report as one of the _Best Financial Services Companies to Work For_ .
Tradeweb Markets LLC ("Tradeweb") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer.
Mission: Move first and never stop. Collaborate with clients to create and build solutions that drive efficiency, connectivity, and transparency in electronic trading.
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Associate Director, IT Internal Audit

London, London IQVIA

Posted 5 days ago

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**Job Overview**
The role presents a dynamic opportunity to assure technology and operational compliance within IQVIA through delivering SOX, technology, and operational audits while enforcing policies, procedures and controls which form the foundation of IQVIA globally. The role requires working close with the Vice President of Internal Audit and the remaining Internal Audit team while working hand in hand with technology and operational leads globally, providing significant exposure to IQVIA Senior Management.
**Responsibilities:**
- Oversee management and delivery of a portfolio of IT and Operational audits, and SOX assignments as part of the annual IT Internal Audit plan.
- Manage an audit team on assigned IT and operational audits, including scoping, fieldwork, documentation of test results and workpapers, and reporting in accordance with internal and external standards.
- Support the Director of IT Internal Audit in the annual risk assessment and audit plan development process.
- Develop and leverage relationships with IQVIA management to identify and assess risks within assigned areas to determine the scope of assigned engagements.
- Prepare IT audit programs to be used in current and future audits.
- Identify internal control weaknesses, providing recommendations an follow-up on action plan implementation in partnership with key partners and business owners.
- Prepare and deliver audit reports to management, including audit observations, recommendations, and development of agreed upon management action plans.
- Conduct follow-up on remediation and management action plans with IQVIA management.
- Communicate audit status and observations, with associated recommednations, to all relevant stakeholders.
- Manage and coach junior team members assigned to audits on a project basis.
- Manage direct reports where applicable, including the performance appraisal process.
**Qualifications**
- Degree in Information Technology, Cybersecurity, Information Systems, Computer Science, Business Administration, or related area.
- Certified in Information System Auditing or Information Security (CISA, CISSP or equivalent) with minimum 8 years of progressively responsible experience in a relevant function.
- Extensive knowledge of risks, processes, and internal controls within main IT and operational process areas.
- Exposure to Sarbanes-Oxley Act and other auditing principals including general auditing (GAAS) standards.
- Extensive knowledge of risks, processes, and internal controls within all main process areas.
- Extensive knowledge and understanding of general and application controls, system/application development, business continuity and disaster recovery, data privacy, and technology areas including networks, communications, operating systems, databases, cloud computing, web technologies, and IT governance standards and industry best practices (e.g., ISO 27000, NIST, ITIL, etc.).
- International travel requirements of approximately15%.
**Demonstrated Capabilities**
- Excellent interpersonal and communication skills and the ability to interact with senior management across countries and cultures.
- Attention to detail and organization to ensure completeness and accuracy of work performed.
- Ability to prioritize, multitask and commit to meet reporting deadlines.
- Excellent analytical, problem-solving, and decision-making skills.
- Ability to work under own initiative, and enthusiasm to drive through change.
- PC proficiency, including MS Word, Excel, Power Point, and Outlook.
- Knowledge of data analytics and usage of audit management tools including AuditBoard would be an advantage.
- High level of confidentiality when dealing with highly sensitive information and ability to work with large amounts of complex data.
- Proven track record of working with senior management across IT, Legal, and Privacy business functions.
- Ability to quickly learn new technologies as they become prevalent and widely implemented.
- Comfortable with ambiguity and can make quality decisions in a dynamic, fast-paced environment.
IQVIA is a leading global provider of clinical research services, commercial insights and healthcare intelligence to the life sciences and healthcare industries. We create intelligent connections to accelerate the development and commercialization of innovative medical treatments to help improve patient outcomes and population health worldwide. Learn more at is a leading global provider of clinical research services, commercial insights and healthcare intelligence to the life sciences and healthcare industries. We create connections that accelerate the development and commercialization of innovative medical treatments. Everything we do is part of a journey to improve patient outcomes and population health worldwide.
To get there, we seek out diverse talent with curious minds and a relentless commitment to innovation and impact. No matter your role, everyone at IQVIA contributes to our shared goal of helping customers improve the lives of patients everywhere. Thank you for your interest in growing your career with us.
EEO Minorities/Females/Protected Veterans/Disabled
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Chartered Accountant - Financial Audit

BN1 1EE East Sussex, South East £50000 Annually WhatJobs

Posted 1 day ago

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full-time
Our client, a prestigious firm of Chartered Accountants based in Brighton, is seeking a qualified and driven Chartered Accountant to join their thriving audit department. This role offers a challenging yet rewarding career opportunity within a supportive and dynamic environment. You will be responsible for managing a diverse portfolio of audit assignments for a wide range of clients, ensuring compliance with auditing standards and regulatory requirements. The ideal candidate will possess strong technical accounting skills, a keen eye for detail, and the ability to identify and resolve complex financial issues. You will play a key role in planning, executing, and concluding audits, including risk assessment, internal control evaluation, and financial statement analysis. This position involves significant client interaction, building strong relationships, and providing valuable insights and recommendations. The role requires a proactive approach to identifying business development opportunities and contributing to the firm's growth. As part of a hybrid working model, you will have the flexibility to balance office-based work with remote working, fostering a healthy work-life integration. You will be expected to mentor and develop junior members of the audit team, contributing to their professional growth. A commitment to continuous professional development and staying abreast of the latest accounting and auditing standards is essential. This is an excellent opportunity for an ambitious accountant looking to advance their career within a reputable firm.
Responsibilities:
  • Plan, execute, and conclude financial audits for a portfolio of clients.
  • Assess client internal control systems and identify areas for improvement.
  • Perform analytical procedures and detailed testing of financial statements.
  • Ensure compliance with International Standards on Auditing (ISAs) and relevant regulations.
  • Prepare clear and concise audit reports, including findings and recommendations.
  • Build and maintain strong relationships with clients, acting as a trusted advisor.
  • Supervise, train, and mentor junior audit staff.
  • Identify and pursue business development opportunities.
  • Manage audit engagement budgets and timelines effectively.
  • Stay up-to-date with changes in accounting standards and auditing practices.

Qualifications:
  • ACA/ACCA qualified or equivalent qualification.
  • Proven experience in audit and assurance services within an accounting practice.
  • Strong understanding of UK GAAP and IFRS.
  • In-depth knowledge of ISAs and auditing methodologies.
  • Excellent analytical, problem-solving, and decision-making skills.
  • Strong communication and interpersonal abilities, with the capacity to liaise effectively with clients at all levels.
  • Experience with audit software and data analytics tools.
  • Ability to manage multiple engagements and meet deadlines.
  • Experience in supervising and developing junior team members.
  • Willingness to work in a hybrid model, balancing office and remote duties.
The job location is in Brighton, East Sussex, UK .
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Chartered Accountant - Financial Audit

DE1 2RU Derby, East Midlands £60000 Annually WhatJobs

Posted 4 days ago

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full-time
Our client, a leading chartered accountancy firm, is seeking an experienced and highly qualified Chartered Accountant to join their prestigious audit department in Derby, Derbyshire, UK . This is a critical role responsible for conducting comprehensive financial audits for a diverse portfolio of clients across various industries. You will lead audit engagements, ensuring compliance with all relevant accounting standards and regulations, including UK GAAP and IFRS. The successful candidate will be responsible for planning, executing, and completing audits, including the supervision and development of junior audit staff. Key duties include assessing internal control systems, identifying financial risks and control weaknesses, and providing constructive recommendations for improvement. You will play a vital role in building and maintaining strong client relationships, acting as a key point of contact throughout the audit process. This position demands a meticulous attention to detail, strong analytical skills, and the ability to interpret complex financial data. The ideal candidate will be a fully qualified Chartered Accountant (ACA, ACCA, or equivalent) with significant post-qualification experience in auditing. You should possess excellent leadership qualities, the ability to manage multiple assignments simultaneously, and a proactive approach to problem-solving. This role offers significant opportunities for professional growth and career advancement within a supportive and challenging environment. We are committed to fostering a culture of excellence and integrity, and we are looking for individuals who share these values. This role is office-based to facilitate close collaboration with the team and clients, ensuring the highest quality of service.
Key Responsibilities:
  • Lead and manage financial audit engagements from planning to completion.
  • Supervise, train, and mentor junior audit staff.
  • Assess client internal control systems and identify areas for improvement.
  • Ensure all audits are conducted in compliance with relevant standards and regulations.
  • Prepare detailed audit reports and management letters.
  • Develop and maintain strong professional relationships with clients.
  • Communicate audit findings and recommendations effectively to stakeholders.
  • Stay updated on changes in accounting standards and auditing practices.
Required Qualifications:
  • Fully qualified Chartered Accountant (ACA, ACCA, CA, or equivalent).
  • Significant post-qualification experience in a similar audit role.
  • Proficiency in UK GAAP and IFRS.
  • Strong understanding of audit methodologies and risk assessment.
  • Excellent analytical, problem-solving, and decision-making skills.
  • Effective leadership and team management capabilities.
  • Superior written and verbal communication skills.
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Chartered Accountant - Financial Audit

CF10 1AA Cardiff, Wales £55000 Annually WhatJobs

Posted 9 days ago

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full-time
Our client, a leading financial services firm, is seeking a qualified Chartered Accountant to join their prestigious audit team in **Cardiff, Wales, UK**. This is an excellent opportunity for a detail-oriented and analytical professional to contribute to high-profile audit engagements. You will be responsible for planning, executing, and finalizing complex financial audits for a diverse portfolio of clients across various industries. This includes performing risk assessments, developing audit strategies, and ensuring compliance with regulatory standards and accounting principles. The role demands a thorough understanding of financial statements, internal controls, and audit methodologies. You will lead audit engagements, supervise and mentor junior staff, and effectively communicate audit findings and recommendations to senior management and clients. Strong report writing skills and the ability to present complex financial information clearly and concisely are crucial. The ideal candidate will be a fully qualified Chartered Accountant with extensive experience in financial auditing, possessing a keen eye for detail and a commitment to upholding the highest professional standards. Proficiency in audit software and data analytics tools is highly desirable. This position requires a proactive individual who can manage multiple deadlines, work effectively under pressure, and build strong relationships with clients. Based in our **Cardiff, Wales, UK** office, this role offers significant opportunities for professional growth and career advancement within a supportive and challenging environment.
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Chartered Accountant - Financial Audit

PO1 3BS Portsmouth, South East £45000 Annually WhatJobs

Posted 9 days ago

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full-time
A leading firm of Chartered Accountants based in **Portsmouth, Hampshire, UK**, is seeking a diligent and meticulous Chartered Accountant to join their growing Financial Audit team. This role is primarily office-based, offering a stable and collaborative working environment within a reputable organisation. You will be responsible for planning, executing, and completing financial audits for a diverse portfolio of clients across various industries. Your expertise will ensure that financial statements are accurate, comply with relevant accounting standards, and that internal controls are effective.

As a Chartered Accountant, you will play a crucial role in providing assurance to stakeholders by examining financial records, identifying potential risks and control weaknesses, and offering valuable recommendations for improvement. You will liaise directly with clients, understanding their business operations and financial processes, and guiding them through the audit process. This position requires a strong technical understanding of auditing standards, accounting principles, and regulatory requirements. You will also be involved in team leadership, supervising junior staff, and contributing to the overall development of the audit department.

Key Responsibilities:
  • Plan and manage financial audits for a portfolio of clients, from planning stages to final report issuance.
  • Execute audit procedures, including risk assessment, internal control testing, and substantive testing of financial statements.
  • Identify and analyse financial reporting issues, accounting irregularities, and control deficiencies.
  • Prepare clear, concise, and accurate audit reports with actionable recommendations.
  • Communicate effectively with clients, including presenting audit findings and discussing proposed solutions.
  • Ensure compliance with auditing standards (e.g., ISA UK), accounting standards (e.g., UK GAAP, IFRS), and relevant regulations.
  • Supervise, train, and mentor junior audit staff, reviewing their work for accuracy and completeness.
  • Build and maintain strong client relationships, acting as a trusted advisor.
  • Stay up-to-date with changes in accounting and auditing standards and industry best practices.
  • Contribute to the firm's continuous improvement initiatives and business development efforts.

Required Qualifications:
  • Fully qualified Chartered Accountant (ACA, ACCA, or equivalent).
  • Proven experience in financial auditing, ideally gained within an accounting practice.
  • Solid understanding of auditing standards, accounting principles, and regulatory frameworks.
  • Strong analytical, problem-solving, and critical thinking skills.
  • Excellent report writing and presentation abilities.
  • Experience with audit software and data analysis tools.
  • Ability to manage multiple engagements simultaneously and meet tight deadlines.
  • Strong interpersonal skills and the ability to build rapport with clients and colleagues.
  • Proficiency in Microsoft Office Suite, particularly Excel.
  • A proactive and detail-oriented approach to work.

This is an excellent opportunity for a qualified accountant seeking a challenging and rewarding role within a well-established firm. Join our team in Portsmouth and contribute to delivering exceptional audit services.
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Chartered Accountant - Financial Audit

BN1 1DN East Sussex, South East £55000 Annually WhatJobs

Posted 11 days ago

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full-time
Our client, a prestigious chartered accountancy firm, is seeking a qualified Chartered Accountant to join their Audit and Assurance department in Brighton, East Sussex, UK . This role offers a fantastic opportunity to work with a diverse portfolio of clients, providing high-quality audit services and insightful financial advice. As a key member of the team, you will be responsible for planning and executing financial audits for businesses across various sectors, ensuring compliance with relevant accounting standards and regulations. Your duties will include conducting detailed financial statement audits, performing risk assessments, developing audit strategies, and supervising junior audit staff. You will be expected to build and maintain strong client relationships, acting as a trusted advisor. The role involves identifying potential financial risks and control weaknesses, recommending improvements, and ensuring that clients adhere to best practices in financial management. Accurate preparation and review of audit working papers, along with the clear communication of findings to clients and the engagement partner, are essential. Maintaining up-to-date knowledge of current accounting standards (UK GAAP/IFRS) and auditing practices is crucial. The ideal candidate will be a fully qualified Chartered Accountant (ACA, ACCA, or equivalent) with significant post-qualification experience in audit. Strong analytical, problem-solving, and decision-making skills are required, along with excellent attention to detail. You must possess outstanding communication and interpersonal skills, with the ability to explain complex financial information clearly and concisely. Experience managing audit engagements and leading teams is essential. This is an excellent opportunity for a motivated professional seeking career growth and development within a supportive and dynamic environment.

Key Responsibilities:
  • Plan, lead, and execute financial audits for a diverse client base.
  • Assess financial risks and design appropriate audit procedures.
  • Supervise and mentor junior members of the audit team.
  • Perform detailed testing of financial statements and internal controls.
  • Identify control deficiencies and provide practical recommendations for improvement.
  • Ensure compliance with UK GAAP, IFRS, and auditing standards.
  • Prepare and review audit documentation, including working papers and reports.
  • Communicate audit findings and recommendations to clients and engagement partners.
  • Build and maintain strong working relationships with clients.
  • Manage multiple audit engagements simultaneously.
  • Stay current with changes in accounting regulations and industry trends.
  • Contribute to practice development and business growth initiatives.
  • Ensure adherence to firm's quality control procedures.
Qualifications:
  • Fully qualified Chartered Accountant (ACA, ACCA, or equivalent).
  • Minimum of 5 years' post-qualification experience in audit.
  • Proven experience in leading and managing audit engagements.
  • Strong understanding of UK GAAP and/or IFRS.
  • Excellent knowledge of auditing standards and techniques.
  • Proficiency in audit software and Microsoft Office Suite.
  • Strong analytical, critical thinking, and problem-solving skills.
  • Excellent communication (written and verbal) and interpersonal skills.
  • Ability to manage time effectively and meet deadlines.
  • Demonstrated ability to build client relationships.
  • Experience supervising and developing junior staff.
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Chartered Accountant - Financial Audit

L3 9PP Liverpool, North West £60000 Annually WhatJobs

Posted 20 days ago

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full-time
Our client, a highly reputable and growing firm of Chartered Accountants, is seeking a dedicated and experienced Chartered Accountant to join their audit and assurance team. This hybrid role, based in Liverpool, Merseyside, UK , offers a fantastic opportunity to work with a diverse client base across various industries, including technology, manufacturing, and professional services. The ideal candidate will possess strong technical accounting skills, a keen eye for detail, and a commitment to delivering high-quality audit services. You will play a key role in leading audit engagements, managing client relationships, and mentoring junior staff.

Responsibilities:
  • Lead and manage multiple audit engagements from planning to completion, ensuring timely delivery and adherence to professional standards.
  • Develop and execute audit plans, including risk assessment, substantive testing, and analytical procedures.
  • Review and supervise the work of junior audit staff, providing guidance and constructive feedback.
  • Communicate effectively with clients regarding financial reporting, audit findings, and recommendations.
  • Prepare high-quality audit reports and financial statements.
  • Identify and address technical accounting issues, ensuring compliance with relevant accounting standards (e.g., UK GAAP, IFRS).
  • Build and maintain strong client relationships, acting as a trusted advisor.
  • Contribute to the development and implementation of firm-wide audit methodologies and best practices.
  • Stay updated on changes in accounting standards, regulations, and audit techniques.
  • Assist in business development efforts and support practice growth initiatives.
Qualifications:
  • Fully qualified Chartered Accountant (ACA, ACCA, or equivalent) with a current practising certificate.
  • Minimum of 5 years of post-qualification experience in audit and assurance.
  • Proven experience in leading and managing audit engagements for a diverse range of clients.
  • Strong knowledge of UK GAAP and/or IFRS.
  • Excellent understanding of audit risk assessment and control environments.
  • Proficiency in audit software and Microsoft Office Suite.
  • Strong analytical, problem-solving, and decision-making skills.
  • Excellent written and verbal communication skills, with the ability to articulate complex issues clearly.
  • Proven ability to manage multiple projects simultaneously and meet deadlines.
  • Experience in mentoring and developing junior team members.
This is an excellent opportunity for a skilled Chartered Accountant to advance their career within a supportive and dynamic firm in Liverpool, Merseyside, UK . We offer a competitive salary, excellent benefits, and opportunities for professional growth.
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Senior Financial Accountant - Audit & Compliance

WV1 2AA Wolverhampton, West Midlands £55000 Annually WhatJobs

Posted 6 days ago

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full-time
Our client is a reputable organisation seeking a highly experienced Senior Financial Accountant to join their finance team. This position is fully remote, offering the convenience and flexibility to work from home across the UK. You will be responsible for managing key aspects of the accounting function, with a strong emphasis on audit preparation, compliance, and financial reporting. This role demands a thorough understanding of accounting principles, regulatory requirements, and internal controls.

Key responsibilities include preparing accurate and timely financial statements in accordance with relevant accounting standards (e.g., IFRS, UK GAAP). You will lead the preparation for external audits, liaising with auditors, providing necessary documentation, and ensuring smooth audit processes. Your duties will also involve managing month-end and year-end close procedures, performing balance sheet reconciliations, and investigating and resolving accounting discrepancies. Ensuring compliance with tax regulations and other financial legislation is paramount. The ideal candidate will possess strong analytical and problem-solving skills, with the ability to interpret complex financial data and provide clear insights. Experience with accounting software (e.g., SAP, Oracle, QuickBooks) and advanced Excel skills are required. This is a fully remote role, requiring a self-motivated and organised individual who can manage their workload effectively and communicate clearly with team members and stakeholders virtually. You will play a vital role in maintaining the integrity of the company's financial records and ensuring adherence to all compliance requirements. This is an excellent opportunity for a seasoned accounting professional to contribute their expertise in a flexible, remote working environment, making a significant impact on the financial health and compliance of the organisation. The autonomy of this remote role allows for focused work and efficient execution of critical accounting tasks, supporting the company's financial governance.

Key Responsibilities:
  • Prepare financial statements and management reports.
  • Lead the preparation and coordination of external audits.
  • Ensure compliance with UK GAAP/IFRS and relevant financial regulations.
  • Manage month-end and year-end closing processes.
  • Perform balance sheet reconciliations and variance analysis.
  • Oversee internal control systems and recommend improvements.
  • Handle tax computations and filings.
  • Provide financial insights and support to senior management.
Required Qualifications:
  • Qualified Accountant (ACA, ACCA, CIMA or equivalent).
  • Significant experience in financial accounting, audit, and compliance.
  • In-depth knowledge of UK GAAP and/or IFRS.
  • Proficiency in accounting software and advanced Excel skills.
  • Experience with tax regulations and reporting.
  • Strong analytical, problem-solving, and communication skills.
  • Ability to work independently and manage deadlines in a remote setting.
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AVP - Global Financial Crimes Audit Manager, EMEA

London, London MUFG

Posted 6 days ago

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**Do you want your voice heard and your actions to count?**
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
EMEA Internal Audit (EIA), as the Bank's third Line of Defence, and in accordance with the Global Institute of Internal Auditors (IIA) International Standards (IIA Standards), provides independent assurance to the Board and Executive Management on the quality and effectiveness of governance, risk management and internal controls to monitor manage and mitigate key risks to achieving the Bank's objectives.
**NUMBER OF DIRECT REPORTS**
None
**MAIN PURPOSE OF THE ROLE**
An excellent opportunity has arisen for an experienced financial crime audit professional to join the Global Financial Crimes audit team as an Assistant Vice President (Audit Manager). The main purpose of the role is to execute and deliver all audit engagements assigned to them by the Audit Director. The Audit Manager will support the Audit Director and Senior Audit Managers in delivering the engagements, and will be responsible for leading smaller engagements. Audit Managers will have, and continue to develop, subject matter expertise in their area. It is an exciting time to join the Internal Audit function as we continue to build towards a best in class, global audit function. The Global Financial Crimes Audit team reports globally into the Global Head of Financial Crimes Audit in New York, and therefore the role holder will be responsible for working alongside, and building relationships with, both regional and global counterparts.
**KEY RESPONSIBILITIES**
+ Assist the Audit Director with the respective Portfolio, risk universe sections, risk assessments and audit plans.
+ Ownership of the assigned area of responsibility during the engagement and manage the stakeholders (both internally and externally). May have responsibility to work on multiple engagements concurrently.
+ Help and support the Audit Director in planning engagements, identify relevant key risk areas and produce quality Audit Planning Document.
+ Working autonomously and ability to deliver smaller audit engagements to required timelines and quality standards.
+ Devises effective and efficient tests of key controls, executes and documents audit work and concludes on the results of audit tests and overall effectiveness of controls.
+ Escalates audit issues to senior management. Interacts with auditee and audit team to develop and negotiate solutions.
+ Assess regulatory requirements and trends in financial crimes and incorporate this into continuous monitoring activities. Deliver continuous monitoring assignments for agreed audit entities under the supervision of Head of Audit.
+ Maintain constructive relationships with stakeholders so that audit planning and delivery is achieved smoothly and professionally.
+ Follows up on issues to ensure satisfactory closure of Management Action Plans. This will involve the testing of remediated controls before closure of issue.
+ Assist the Audit Director in preparing management information and third-party submissions.
+ Work collaboratively with all internal audit colleagues regionally and globally.
+ From time to time, may also be required to take a team role in EIAO's strategic initiatives e.g. a working group.
**WORK EXPERIENCE**
+ Internal Audit experience gained in financial services industry.
+ Financial crimes knowledge evidenced via experience and/or relevant professional qualifications
**SKILLS AND EXPERIENCE**
**Functional / Technical Competencies:**
+ Excellent understanding of risk-based auditing methodology.
+ An understanding and appreciation of financial crimes risks and controls in first and second lines of defence.
+ An understanding of global regulation requirements for financial crimes.
+ Ability to work well as part of a small, focused audit team.
+ Ability to lead smaller audit engagements, under supervision from the Senior Audit Manager/Audit Director
+ Excellent written and verbal presentation skills.
+ Excellent stakeholder management skills as the role holder will interact with senior stakeholders.
+ Experience of agile auditing
+ Data analytics experience
**PERSONAL REQUIREMENTS**
+ Excellent interpersonal and communication skills
+ Confident, motivated self-starter
+ Results driven, with a strong sense of accountability
+ Strong focus on high quality output and ability to coach and support the team in this
+ The ability to operate with urgency and prioritise work accordingly
+ Strong decision-making skills, the ability to demonstrate sound judgement
+ A structured and logical approach to work
+ A creative and innovative approach to work
+ The ability to manage material workloads and tight deadlines.
+ Excellent attention to detail and accuracy
+ A calm approach, with the ability to perform well under pressure
**PERFORMANCE AND DUTIES**
The role holder will be assessed in accordance with their employing entity's performance framework and process with relevant input obtained from the dual hatting entity as relevant.
As duties and responsibilities change, the job description will be reviewed and emended in consultation with the role holder. The role holder will carry out other duties as are within the scope, spirit and purpose of the role as requested by their line manager or the Chief Auditor for EMEA.
We are open to considering flexible working requests in line with organisational requirements.
MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.
We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.
At MUFG, our colleagues are our greatest assets. Our Culture Principles provide a roadmap for how each of our colleagues must think and act to become more client-obsessed, inclusive and innovative. They reflect who we are, who we want to be and what we expect from one another. We are excited to see you take the next step in exploring a career with us and encourage you to spend more time reviewing them!
**Our Culture Principles**
+ Client Centric
+ People Focused
+ Listen Up. Speak Up.
+ Innovate & Simplify
+ Own & Execute
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