Compliance Audit Manager

Responsibilities

• Execute end-to-end audit engagements from planning through to reporting under the guidance of the Head of Audit.
• Evaluate the design and operating effectiveness of internal controls, including IT General Controls (ITGCs) and automated business processes.
• Utilize a data-driven approach by leveraging direct system data extraction and automated testing techniques.
• Test compliance across multiple jurisdictions, including EU (MiFID II, GDPR, AML), UK (FCA), Hong Kong (SFC), and Dubai (DFSA).
• Draft audit findings, collaborate with process owners on management action plans, and monitor remediation status.
• Manage co-sourced audit providers and assist with Audit Committee materials and regulatory examinations.

Requirements

• Bachelor's degree in Law, Compliance, Accounting, Finance, or a related field.
• 5+ years of experience in internal audit, external audit, or risk/compliance roles.
• Professional certification (CIA, CISA, CAMS, or ICA Diploma) completed or actively in progress.
• Proven experience within the investment, brokerage, or fintech industries.
• Exposure to at least two regulatory environments: EU, UK, Hong Kong, or Middle East.
• Proficiency in audit management software and advanced Excel.
• Strong analytical skills with the ability to understand automated processes and cloud-based architectures.

Preferred Qualifications

• Deep knowledge of the COSO framework and IIA Standards.
• Hands-on exposure to IT general controls (ITGCs).
• Experience with data analytics tools and languages such as SQL, Python, Power BI, ACL, or IDEA.
• Understanding of API-based integrations and enterprise SaaS platforms.

About the Company

EXANTE is a global wealth-tech company powering the next generation of trading. We deliver cutting-edge centralised trading solutions and robust B2B financial infrastructure, offering clients seamless access to a wide range of financial instruments through a single, multi-currency account. We pride ourselves on our technological insights, focus on privacy, and a culture that empowers our global team of 600+ professionals.