Compliance Audit Manager

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

📋 Description

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

• Execute walkthroughs, document processes, and assess the design and operational effectiveness of internal controls.

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

• Utilize direct data extraction from systems and automated testing methods instead of relying exclusively on manual samples.

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

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

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

• Prepare audit findings, engage with process owners to discuss results, and establish practical management action plans (MAPs).

• Track the status of outstanding findings, thoroughly validate remediation actions, and maintain precise records in the audit system.

• Oversee co-sourced and outsourced audit providers to ensure high-quality and seamless 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 aimed at continuous improvement, specifically enhancing 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 actively pursued: 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.

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

• Experience in auditing or working closely in 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 a plus: EU, UK, Hong Kong, or Middle East (DIFC/DFSA).

• Proficient in audit management software and the Microsoft Office suite, especially advanced Excel.

🏝️ Benefits

• Health coverage

• Remote work opportunities

• Professional development