Internal Audit Manager, Financial Crime & Conduct

This is a fully remote position, open to applicants in United Kingdom, +1 more state.

📋 Description

• Oversee the global financial crime and conduct audit program, encompassing AML/CFT, sanctions, anti-bribery and corruption, conduct, and market integrity risks.

• Conduct risk assessments and establish priorities for audit coverage.

• Design and carry out control testing, assessing both design and operational effectiveness.

• Evaluate controls related to market abuse and surveillance, personal account dealings, conflicts of interest, and consumer protection.

• Develop and contribute to multi-year audit plans across various jurisdictions.

• Utilize generative AI, agentic workflows, and data analytics throughout the audit lifecycle.

• Manage multiple audit engagements from the planning phase through fieldwork and reporting.

• Record findings, root causes, workpapers, and audit reports.

• Monitor and validate issue remediation and escalate any delays or gaps identified.

• Enhance audit methodologies and frameworks to align with IIA Global Internal Audit Standards and quality assurance requirements.

• Lead engagement teams and coordinate co-sourced resources effectively.

• Collaborate with Compliance, Legal, Risk, and Business stakeholders while ensuring audit independence is maintained.

• Present findings to senior management, the Audit Committee, and regulators when necessary.

• Assist in regulatory examinations and follow-up on enforcement-related matters.

• Keep abreast of evolving financial crime typologies, sanctions regimes, conduct expectations, and regulatory guidance.

⛳️ Requirements

• A minimum of 8 years of experience in internal audit or a combination of audit and financial crime compliance roles within the financial services sector.

• Direct experience in assessing or auditing financial crime compliance programs, particularly AML/CFT frameworks.

• Familiarity with more than one regulatory regime, ideally with experience in globally distributed teams.

• Strong knowledge of AML, sanctions, and anti-bribery and corruption risks.

• Understanding of conduct and market integrity risks, including market abuse, personal account dealings, and consumer protection.

• Demonstrated experience in executing audits from start to finish: planning, fieldwork, and reporting.

• Capability to assess control design and operational effectiveness within complex organizations.

• Experience in communicating findings and recommendations to senior stakeholders effectively.

• Leadership experience in managing audit workstreams and engagement teams.

• Ability to work across multiple time zones with globally distributed teams.

• Responsible use of generative AI with appropriate human oversight.

• Relevant certifications such as CAMS, CIA, CFE, or equivalent are advantageous.

• Familiarity with crypto, fintech, or digital asset financial crime typologies is a plus.

• Familiarity with AuditBoard or Workiva is considered a plus.

🏝️ Benefits

• Remote work arrangement.

• Opportunity to collaborate with globally distributed teams.

• Consistent application of skills or work-style assessments across candidates.

• Commitment to equal opportunity employment.

• Kraken product dogfooding upon joining (a requirement for all employees).