Internal Audit Manager

Role overview

Audit planning and execution

• Plan, execute, document, and archive audits in line with the approved plan and internal audit methodology.
• Cover trading, sales, client onboarding and lifecycle, product governance and pricing, marketing, growth initiatives, business operations, and relevant support functions.
• Assess controls supporting strategy, revenue, client protection, conduct, and regulatory compliance.
• Review business processes and new or changing initiatives; identify root causes of control gaps, inefficiencies, conduct risks, and client detriment.
• Coordinate risk assessments, update the audit plan and audit universe, and contribute to internal audit governance documentation.
• Coordinate shareholder assignments and external or statutory audit activities; report significant breaches as required.

Reporting and stakeholder engagement

• Prepare reports that explain business risks and impacts and recommend practical actions.
• Agree remediation actions with management, track and validate implementation, assess effectiveness, and escalate high-risk or overdue issues.
• Provide thematic insights and support periodic audit updates, reports, and dashboards.
• Advise business leaders on emerging risks and coordinate with IT audit colleagues on technology-enabled processes without taking IT audit accountability.

Team leadership and standards

• Supervise, coach, review, and allocate work for associates and support their professional development.
• Improve audit methodology, tools, and business audit practices; provide backup support to the Director of Internal Audit as assigned.
• Follow the Internal Audit Charter, approved methodology, and IIA International Professional Practices Framework; maintain independence, integrity, confidentiality, and professional development.

Qualifications and experience

• Bachelor’s degree in Accounting, Finance, Business Administration, or a related discipline is required.
• Requires 7–9 years of progressive internal audit, external audit, or risk-management experience and at least 2 years in a managerial role.
• Experience leading audit teams and complex engagements and working with process owners and senior stakeholders is required.
• Understanding of COSO, ADAA requirements, and IIA Standards is expected; financial-services or large-corporate experience is preferred.
• CIA, CA, ACCA, CPA, CFE, CISA, or equivalent certification is preferred.

Skills and competencies

• Requires knowledge of brokerage, trading and dealing, governance, regulatory requirements, business conduct, client outcomes, IT General Controls, and Abu Dhabi IT-security requirements.
• Requires financial accounting and reporting knowledge, strong analytical judgment, problem-solving, business-focused report writing, English communication, and people-management and coaching skills.