Internal Audit Manager - Conduct and Compliance

• Being responsible for providing independent assurance over the design and effectiveness of controls related to conduct risk, regulatory compliance, and ethical business practices across various business areas.
• Completing audit scoping, including documentation of audit scope, process understanding, risk & control identification, and testing strategies.
• Completing audit fieldwork by testing key controls, documenting audit workpapers in accordance with our internal audit methodology, and writing high quality audit observations.
• Forming an independent view of whether the key risks to the organisation have been identified, including emerging and systemic risks, and assess how effectively these risks are being managed.
• Delivering clear, insightful and pragmatic audit reports, ensuring factual accuracy and managing stakeholder communications.
• Maintaining strong relationships with stakeholders to ensure audit issues are resolved promptly and effectively.
• Embedding the use of data analytics as part of the core audit processes (risk assessment and planning, audit execution, continuous monitoring).
• Performing continuous business monitoring and updating the Audit team with current developments and emerging risks.
• Maintain awareness of emerging conduct risks, regulatory developments, and industry best practices.
• Ensuring that the audit universe is up-to-date and accurate, and supporting the delivery of the annual audit plan, including risk assessments and planning.
• Driving continuous improvement in the Audit team and contributing to the delivery of the team's strategic goals.
• Ensuring the principles of integrity, objectivity, confidentiality, and competency are applied and upheld.

• You are a highly motivated self-starter and can approach situations with a level of flexibility that allows you to adapt to a fast-paced environment.
• Can demonstrate sound technical knowledge and application of relevant financial services regulatory requirements in the UK and EU (e.g. FCA's SYSC, BCOBS, COCON, PRIN, DISP, SMCR and PSR, CBI and EU EBA's requirements).
• Have experience with internal auditing within fintechs, digital banks and financial services industry, with a focus on conduct and compliance risk.
• You feel comfortable conducting end-to-end audits autonomously, with a moderate level of supervision.
• Have a good understanding of the IIA Internal Audit Standards and strong conduct and compliance knowledge, ideally, from prior regulatory experience or from within the financial services industry.
• Can demonstrate strong understanding of risk and control, control design and control testing approaches.
• Have a strong understanding of internal control frameworks and audit methodologies.
• Have an ability to influence and challenge senior stakeholders.
• You are a strong team player and value inclusivity and diversity.
• Have a relevant qualification, e.g. CIA or ICA Diploma.

• Recruiter Call
• Hiring Manager Call - 30 mins
• Role Specific Interview - 60 mins
• Behavioural Interview - 60 mins
• Call with our Chief Internal Auditor - 20 mins

Monzo