Senior Internal Auditor

Company & Culture

EXANTE is a pioneering wealth tech company that delivers cutting-edge centralized trading solutions and robust B2B financial infrastructure, driving value through innovative technology. Our proprietary trading platform provides seamless access to a diverse range of financial instruments, including stocks, ETFs, bonds, futures, and options, all within a single, multi-currency account.

As a rapidly expanding global firm with over 700 talented employees from 70+ nationalities across 70 locations, we are a frontrunner in the financial sector. Our investment priorities are clear: We prioritize investing in our most valuable asset—our people. Join us in shaping the future of finance.

About the Role

We are seeking an experienced Senior Internal Auditor to lead our Group Internal Audit function. You will be responsible for establishing and executing the internal audit strategy across our regulated entities in the European Union, United Kingdom, Hong Kong, and Dubai. Working alongside one Internal Auditor, you will provide independent assurance to the Board and Audit Committee on the effectiveness of governance, risk management, and internal controls across the group.

This is a digital-first, risk-based internal audit function aligned with our fintech operating model. We operate in an environment of automated processes, API-driven integrations, cloud infrastructure, and rapid product iteration. We expect Internal Audit to be pragmatic and technology-enabled, leveraging data and system access rather than relying on traditional, document-heavy approaches.

This is a high-visibility role offering direct engagement with senior leadership and regulators, and the opportunity to shape the internal audit function within a growing international group.

 Reports to: Group Chief Financial Officer (administrative reporting) / Audit Committee (functional reporting)
 Direct Reports: Internal Auditor (1)

Key Responsibilities

Leadership and Strategy

• Lead the Group Internal Audit function, setting the strategic direction and annual audit plan
• Supervise, mentor, and develop the Internal Auditor, including review of their work
• Serve as the primary point of contact for the Audit Committee on all internal audit matters
• Build and maintain the internal audit methodology, charter, and quality assurance framework
• Represent Internal Audit in interactions with external auditors and regulatory bodies
• Champion a strong risk and control culture across the organisation

Audit Planning and Execution

• Utilise enterprise-wide risk assessments (produced by the Risk function) to inform risk-based audit planning
• Lead and execute complex audits of financial, operational, compliance, and IT controls, including technology-enabled processes such as: platform controls and application security; change management and release processes; access management and identity controls; data integrity and reconciliation processes; third-party SaaS and cloud environment controls
• Allocate audit resources effectively across jurisdictions and business units
• Ensure audits are completed on time, within budget, and to a high standard
• Apply continuous auditing techniques, leveraging direct system data extraction (rather than manual samples) and automated control testing where feasible to enhance audit efficiency and coverage

Regulatory and Compliance Assurance

• Provide assurance over compliance with multi-jurisdictional regulatory requirements, including:
  • EU: MiFID II, AIFMD, UCITS, GDPR, DORA, AML Directives (as applicable)
  • UK: FCA rules, including SMCR, Consumer Duty, and relevant prudential requirements
  • Hong Kong: SFC Code of Conduct, AML/CFT requirements
  • Dubai (DIFC): DFSA Rulebook, including conduct of business and AML rules
• Approach operational resilience and DORA requirements as opportunities for integrated, pragmatic assurance—mapping critical services, key dependencies, and controls—rather than standalone regulatory exercises
• Monitor regulatory developments and assess their implications for the audit plan
• Liaise with local compliance officers to coordinate assurance activities and avoid duplication

Reporting and Governance

• Prepare and present audit reports, annual opinions, and thematic reviews to the Audit Committee
• Provide independent assessment of the group's overall control environment and risk profile
• Track and report on the status of management action plans and overdue findings
• Escalate significant control weaknesses or emerging risks to senior management and the Board
• Prepare materials for regulatory examinations and respond to regulatory inquiries as needed

Advisory and Continuous Improvement

• Provide pragmatic advice to management on control design, process improvements, and emerging risks
• Participate in or observe key governance forums and project steering committees
• Lead or support special investigations, fraud reviews, or ad-hoc assurance engagements
• Continuously enhance the internal audit function through adoption of best practices and technology

Required Qualifications

Education and Certification

• Bachelor's degree in Accounting, Finance, Business Administration, or related field; Master's degree preferred
• Professional certification required: CIA, ACA, ACCA, CPA, or equivalent
• Additional certifications highly valued: CISA, CRMA, CFE, or jurisdiction-specific regulatory qualifications

Experience

• Minimum 8–10 years of progressive experience in internal audit, external audit, or risk/compliance roles
• At least 3 years in a senior or supervisory audit capacity
• Extensive experience auditing regulated financial services firms across multiple jurisdictions
• Proven track record of engaging with Audit Committees, Boards, and senior executives
• Direct experience with regulators (e.g., FCA, SFC, DFSA, EU NCAs) strongly preferred
• Familiarity with co-sourced or outsourced internal audit arrangements

Skills and Competencies

• Deep knowledge of internal control frameworks (COSO), risk management standards, and IIA Standards
• Systems thinking and digital fluency, with the ability to understand end-to-end automated processes and technology architectures
• Strong leadership skills with the ability to manage, coach, and develop team members
• Exceptional written and verbal communication skills, including executive-level reporting
• Strategic thinker with the ability to see the big picture while maintaining attention to detail
• Excellent stakeholder management and influencing skills
• Sound judgement, professional scepticism, and uncompromising integrity
• Ability to operate independently with minimal supervision in a lean team environment
• Design audit coverage proportionate to risk and scale, making thoughtful trade-offs rather than maximising audit volume

Desirable Attributes

• Experience in investment services, asset management, fintech
• Knowledge of operational resilience, business continuity, and third-party risk management
• Prior experience building or significantly developing an internal audit function

What We Offer

• Competitive salary commensurate with experience
• Performance-based bonus
• International travel and exposure to diverse regulatory environments
• Direct engagement with the Audit Committee and Group leadership
• Opportunity to shape and lead the internal audit function
• Professional development budget and support for continuing education
• Flexible/hybrid working arrangements

Travel Requirements

This role is remote-first, with travel driven by risk priorities and audit needs rather than default on-site presence. We leverage remote auditing techniques where effective, supplemented by in-person engagement for higher-risk areas, relationship building, and regulatory interactions. Expected travel is approximately 30–50% of time to group entities across Europe, the UK, Hong Kong, and Dubai. Flexibility to adjust travel schedules based on audit priorities and regulatory demands is essential.

A group of disruptive technology experts created EXANTE. With an impressive track record in the industry and knowledge of the markets, our systems are built to democratize access to global financial instruments for professional traders and institutional investors.

Through our robust, cutting-edge trading platforms, you can offer clients access to comprehensive, global financial instruments and investment possibilities while keeping their data safe and private.

EXANTE  is a global prime broker backed by proprietary technology and dedicated service. All regulated group companies and fully controlled affiliates and subsidiaries are committed to compliance with data protection laws, including the GDPR. We process personal data in line with the GDPR principles of fairness, purpose limitation, transparency, data minimisation, storage limitation and deletion, accuracy, confidentiality and integrity, and accountability. We rely on legitimate interests to assess and manage your application, after determining that our interests are not overridden by your rights and interests. You have the rights of access, rectification, data portability, erasure, restriction of processing, and objection to processing. To exercise your rights or contact our Data Protection Officer, please see our GDPR policy at https://exante.eu/gdpr/.

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