capital - capital.com - Internal Audit Manager
Requirements
• Industry Knowledge • You have significant internal audit or assurance experience within a UK-regulated investment firm, broker, fintech, or financial services business. • You understand the UK regulatory environment deeply, including FCA requirements across MIFIDPRU, SYSC, COBS, Consumer Duty, AML/CTF, and operational resilience. • You have experience auditing trading platforms, technology environments, financial crime controls, outsourced providers, and customer outcomes within complex regulated businesses. • You are confident operating within hybrid or co-sourced audit models and understand how to maintain quality, independence, and accountability across multiple delivery channels. • You hold a recognised professional qualification such as CIA, ACA, ACCA, CPA, or CISA. • Problem-Solving • You can assess complex control environments, identify root causes, and translate findings into practical, commercially realistic recommendations. • You know how to prioritise risk effectively in fast-moving businesses where regulation, technology, and product development evolve simultaneously. • You are comfortable working through ambiguity and adapting audit approaches as new risks emerge. • Collaboration & Influence • You build credibility quickly with Boards, regulators, senior executives, and cross-functional stakeholders. • You communicate clearly and directly, balancing independence with constructive partnership. • You can challenge effectively while maintaining trust and alignment across the organisation. • Mindset & Style • You take ownership and operate with strong integrity, objectivity, and professional judgement. • You are proactive, resilient, and comfortable making decisions in a high-growth, highly regulated environment. • You bring curiosity and commercial awareness, with the ability to balance regulatory expectations against business realities. • You are motivated by building scalable, modern assurance functions that evolve alongside ambitious global businesses.
Responsibilities
• Lead the development and execution of a risk-based internal audit strategy aligned with CCUK’s regulatory obligations, operational priorities, and evolving risk landscape. • Drive independent assurance across trading operations, technology, AML and financial crime controls, outsourcing arrangements, conduct risk, and regulatory compliance, helping the business scale with confidence. • Shape the hybrid internal audit framework by combining internal capability with specialist co-sourced expertise, ensuring audit coverage remains scalable, credible, and proportionate to business risk. • Partner with the Audit Committee, senior leadership, Compliance, Risk, and Finance teams to provide clear challenge, practical insight, and transparent reporting on material risks and control effectiveness. • Ensure audit methodologies, working practices, and reporting standards remain aligned with FCA expectations, IIA standards, and broader industry best practice. • Identify emerging risks across areas such as operational resilience, AI and model risk, digital assets, and platform technology, proactively adapting audit coverage as the business evolves. • Oversee co-sourced audit providers by defining engagement standards, reviewing quality of delivery, and maintaining independence and consistency across all audit outputs. • Monitor remediation progress for audit findings, driving accountability and timely resolution of control gaps across the organisation. • Support major business initiatives, regulatory change programmes, and new product activity through independent review and constructive challenge before implementation. • Build and develop a high-performing audit capability through coaching, hiring, succession planning, and knowledge-sharing across the wider group. • Maintain strong governance, documentation, and evidence management practices to support regulatory scrutiny and Board-level oversight. • Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated. • Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid • Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry. • Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team. • Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks! • Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits! • Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community. • Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
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