Internal Auditor – Brokerage Firm

About the role

This position is responsible for delivering comprehensive internal audit services within a leading global financial services institution that operates a brokerage business. The role focuses on assessing risk, testing controls and providing actionable recommendations to strengthen governance across regional operations.

Key responsibilities

• Execute comprehensive end‑to‑end audit procedures, including risk assessments, fieldwork testing and issue management to evaluate internal controls and business processes.
• Perform regional internal control testing to validate the effectiveness of compliance and financial reporting frameworks.
• Monitor emerging regional risk trends and track implementation of audit recommendations to ensure alignment with regulatory standards.
• Partner with internal stakeholders and cross‑functional teams to propose practical enhancements to governance and risk‑mitigation frameworks.
• Deliver clear, accurate and actionable audit findings in accordance with established organisational methodologies.

Required profile

• Relevant degree in finance, accounting or a related business discipline.
• Proven experience conducting internal or external audits within brokerage, trading or related financial services environments.
• Strong understanding of regional regulatory compliance, risk assessment techniques and internal control frameworks.
• Professional certification such as CA or CIA.
• Excellent interpersonal and communication skills for engaging senior executives.

Required skills