Internal Audit Assistant Manager (Insurance, Sales Advisory)

About the role

A growing Internal Audit team is looking for an experienced professional for a newly created position focused on sales advisory, conduct and distribution-related risks. The role suits candidates from insurance companies or Financial Advisory (FA) firms, including those currently in Internal Audit, Compliance or Line 1.5 / Business Risk who want to move into Internal Audit.

Key responsibilities

• Plan and execute risk-based internal audits, from scoping and control testing through to reporting and remediation follow-up.
• Review the effectiveness of controls around sales advisory processes, conduct and regulatory requirements.
• Conduct investigations, thematic reviews and Balanced Scorecard (BSC) reviews relating to sales practices and advisory standards.
• Identify control gaps, root causes and emerging risks, and recommend practical improvements.
• Partner with stakeholders across the 1st and 2nd Lines of Defence to identify red flags and strengthen controls.
• Support major business and change initiatives from a risk and controls perspective.

Required profile

• 5+ years of relevant experience in financial services, ideally in insurance or an FA firm.
• Candidates from Internal Audit, Compliance, Business Risk or Line 1.5 functions are welcome to apply.
• Strong stakeholder management, analytical and communication skills.

Required skills

• Strong exposure to sales advisory, sales conduct, distribution controls and/or regulatory compliance.
• Exposure to BSC reviews, investigations or sales advisory monitoring is advantageous.