Compliance Audit Manager

This is a fully remote position, open to applicants in Poland.

📋 Description

• Carry out assigned audit engagements from the planning phase to the reporting stage under the supervision of the Head of Audit.

• Conduct process walkthroughs, document workflows, and assess the design and operational effectiveness of internal controls.

• Execute thorough testing of IT General Controls (ITGCs) and both automated and manual business process controls across significant systems and platforms.

• Utilize direct system data extraction and automated testing methods instead of relying solely on manual sampling.

• Create clear working papers that substantiate audit conclusions using a risk-based, proportionate approach.

• Evaluate compliance across group entities, including EU regulations (MiFID II, AIFMD, UCITS, GDPR, AML), UK regulations (FCA, SMCR, Consumer Duty), Hong Kong regulations (SFC Code of Conduct, AML/CFT), and Dubai regulations (DFSA Rulebook, AML).

• Remain updated on global regulatory changes while collaborating with local compliance teams to collect information and clarify expectations.

• Draft audit findings, engage in discussions with process owners, and establish actionable management action plans (MAPs).

• Track the progress of open findings, rigorously validate remediation efforts, and ensure accurate maintenance of audit system records.

• Oversee co-sourced and outsourced audit providers to guarantee smooth and high-quality execution of specialized reviews.

• Assist the Head of Audit with materials for the Audit Committee, support external audits, and coordinate regulatory examinations.

• Contribute to initiatives for continuous improvement, specifically focusing on the advancement of data analytics and continuous auditing capabilities.

⛳️ Requirements

• A Bachelor's degree in Law, Compliance, Accounting, Finance, Business Administration, Information Systems, or a related discipline.

• Professional certification either completed or currently in progress: CIA, CISA, CAMS (ACAMS), or a recognized regulatory compliance qualification (e.g., ICA Diploma).

• A strong commitment to obtaining additional relevant specialized certifications (e.g., CISA, CRISC, CRMA) is highly regarded.

• Over 5 years of experience in internal audit, external audit, or risk/compliance roles.

• Experience in auditing or closely collaborating within the investment sector, such as brokerages, exchanges, trading platforms, wealth management, or dynamic fintech environments.

• Familiarity with at least two of the following regulatory frameworks is desirable: EU, UK, Hong Kong, or Middle East (DIFC/DFSA).

• Proficiency in audit management software and the Microsoft Office suite (especially advanced Excel).

🏝️ Benefits

• Flexible remote working environment