Internal Audit Manager

About the Company

Role Overview

Business Audit Planning and Execution

• Lead planning, execution, documentation, and archival of risk-based internal audits under the approved Internal Audit Plan and methodology.
• Audit front-office and trading activities, sales practices, client onboarding, client lifecycle management, and business operations.
• Review product governance, pricing, product changes, marketing, commercial initiatives, growth programs, and support functions.
• Assess controls supporting strategic objectives, revenue generation, client protection, conduct, and regulatory compliance.
• Perform end-to-end process reviews and identify control gaps, inefficiencies, conduct risks, and client detriment.
• Review new or changing initiatives and provide early assurance over control design and risk management.
• Coordinate audit risk assessments and update the internal audit plan and audit universe.
• Support updates to internal audit governance documents, methodology, strategic plans, and committee charters.
• Provide independent insight on internal controls, risk management, and governance practices when requested.
• Coordinate external audit and statutory audit and assurance activities when required.

Reporting and Issue Management

• Prepare audit reports that explain business risks, impacts, and practical recommendations.
• Agree remediation actions with management and track and validate their timely implementation.
• Escalate high-risk or overdue issues to the Director of Internal Audit and assess remediation effectiveness.
• Provide thematic insights and periodic audit updates to executive management, the Audit and Risk Committee, and other stakeholders.

Advisory and Stakeholder Engagement

• Advise business leaders on emerging business, conduct, and regulatory risks.
• Build professional relationships with executive management, leadership, and stakeholders across diverse functions.
• Coordinate with the Internal Audit Manager for IT Audits on technology-enabled processes without assuming IT audit accountability.
• Coordinate assurance providers and internal audit assignments to avoid duplication and achieve comprehensive coverage.

People and Professional Standards

• Supervise, coach, allocate work to, and review Associates on audit assignments and support tasks.
• Contribute to continuous improvement of internal audit methodology, tools, and business audit practices.
• Perform audits in accordance with the Internal Audit Charter, approved methodology, and IIA International Professional Practices Framework.
• Maintain independence, confidentiality, integrity, objectivity, ethics, professional judgment, and relevant regulatory knowledge.

Qualifications and Experience

• Bachelor's degree in Accounting, Finance, Business Administration, or a related discipline is required.
• CIA, CA, ACCA, CPA, CFE, CISA, or an equivalent professional certification is preferred.
• Seven to nine years of progressive experience in internal audit, external audit, or risk management is required.
• At least two years of managerial experience is required.
• Experience leading audit teams and complex audit engagements is required.
• Experience engaging process owners, leadership, and executive management is required.

Skills and Competencies

• Understand internal control frameworks such as COSO, Abu Dhabi Accountability Authority requirements, and IIA Standards.
• Understand trading, dealing, brokerage, governance, regulatory, conduct, and client-outcome risks in financial services.
• Understand IT General Controls and Abu Dhabi IT and IT security requirements.
• Demonstrate analytical judgment, problem-solving, business acumen, and strong report-writing skills.
• Communicate strongly in written and spoken English.
• Understand financial accounting and financial reporting.