Senior Internal Auditor

1w1 week ago

capital.com

London, GB · Full-time · £70,000 – £95,000

About this role

We are seeking a highly analytical and detail-oriented Internal Auditor to join our UK office. This role assesses and enhances internal controls, compliance frameworks, and risk management across all business functions. Ideal candidates understand financial regulations in DIFC/DFSA/SCA contexts and digital brokerage operations.

Develop structured internal audit plans aligned with global strategies and FCA standards, covering governance and risk assessment. Conduct evaluations to identify control gaps, non-compliance, and risks in compliance, finance, operations, and marketing. Execute AML compliance reviews and regulatory audits targeting KYC and client onboarding.

Evaluate cybersecurity frameworks, data privacy, and incident-response capabilities across cross-functional teams. Coordinate with internal stakeholders and external auditors for seamless planning and execution. Present findings to senior management and the UK Board for transparency.

Lead ad hoc investigations into fraud or data breaches with full access to records. Collaborate with departmental leads to implement recommendations and track issue resolution. Continuously enhance internal controls in a dynamic fintech environment.

Requirements

4–6 years in internal audit within financial services, fintech, or capital markets
Hands-on experience auditing compliance programs, AML processes, digital products, and customer-facing operations
In-depth knowledge of UK financial regulations, AML, and KYC frameworks
Proven expertise in developing and executing structured internal audit methodologies aligned with regulatory standards
Demonstrated ability to audit sophisticated technology platforms, automated controls, and data-driven processes

Responsibilities

Develop structured internal audit plans and methodologies aligned with global strategies and FCA regulatory standards
Conduct thorough risk and compliance assessments to identify control gaps and operational inefficiencies across business functions
Independently conduct comprehensive AML compliance reviews including risk assessments, policies, due diligence, and monitoring
Execute detailed regulatory audits targeting AML, KYC, client onboarding, suitability assessments, and FCA compliance
Evaluate cybersecurity frameworks, data privacy governance, and incident-response capabilities
Prepare and present detailed audit findings and recommendations to senior management and the UK Board
Collaborate with stakeholders to facilitate implementation of audit recommendations and track issue resolution
Lead ad hoc investigations into suspected fraud, data breaches, or whistleblower reports