Senior Internal Auditor, Capital.com

Salary not provided

+ Annual Performance Bonus

Senior and Expert level

London

Trading platform & app

Open for applications

Trading platform & app

1001+ employees

FintechB2CTradingMobile

Open for applications

Salary not provided

+ Annual Performance Bonus

Senior and Expert level

London

1001+ employees

FintechB2CTradingMobile

Company mission

To empower individuals worldwide with the knowledge, tools, and confidence to make better financial decisions.

Job

Company

Role

Who you are

The ideal candidate will have a deep understanding of financial regulations (especially within the DIFC/DFSA/SCA context), business operations in a digital brokerage environment, and the agility to audit dynamic and cross-functional teams
Industry Experience: 4–6 years in internal audit within financial services, fintech, or capital markets, ideally with hands-on experience auditing compliance programs, AML processes, digital products, and customer-facing operations
Regulatory & Audit Framework Expertise: In-depth knowledge of UK financial regulations, specifically DIFC, DFSA, SCA, AML, and KYC frameworks
Proven expertise in developing and executing structured internal audit methodologies aligned explicitly with SCA and other relevant regulatory standards
Operational Know-how: Demonstrated ability to audit sophisticated technology platforms, automated controls, and data-driven processes, effectively identifying risks and providing actionable insights
Critical Thinking & Integrity: Exceptional analytical and critical thinking skills, paired with excellent communication abilities, ensuring sensitive issues are handled with utmost confidentiality, independence, and objectivity
Adaptability & Cross-functional Collaboration: Proven ability to excel in dynamic, multicultural, and cross-border team environments, comfortably navigating rapid growth and change
Education & Certifications: Bachelor's degree in Accounting, Finance, Business, or related field. Professional certifications such as CIA, ACCA, CPA, CISA, or CAMS strongly preferred

What the job involves

We are seeking a highly analytical and detail-oriented Internal Auditor to join our UK office
This role plays a critical part in assessing and enhancing the effectiveness of our internal controls, compliance frameworks, and risk management processes across all business functions
Audit Planning & Methodology: Develop structured internal audit plans and methodologies for UK aligned with global strategies and FCA regulatory standards, covering governance, risk assessment, audit execution, and clear definition of audit team roles and responsibilities
Coordinate seamlessly with internal stakeholders and external auditors to ensure effective annual planning and execution
Risk & Compliance Assessment: Conduct thorough evaluations to identify control gaps, non-compliance with regulations, operational inefficiencies, and emerging business risks across compliance, finance, operations, customer support, back office, and marketing functions
AML Compliance Reviews & Independence: Independently conduct comprehensive assessments of the AML compliance program at least every two years
Reviews must include AML risk assessments, effectiveness of policies, enhanced due diligence procedures, ongoing monitoring activities, suspicious activity reporting, IT systems compliance, administrative controls, professional training effectiveness, and record keeping practices
Regulatory Compliance Auditing: Execute detailed regulatory audits, specifically targeting areas such as Anti-Money Laundering (AML), Know Your Customer (KYC), client onboarding, suitability assessments, FCA compliance, complaint handling procedures, disclosures, and related record keeping practices
Cybersecurity & Data Protection Audits: Evaluate cybersecurity frameworks, data privacy governance, and incident-response capabilities, identifying potential digital vulnerabilities and recommending corrective measures
Audit Reporting & Governance Communication: Regularly prepare and present detailed audit findings and actionable recommendations directly to senior management and the UK Board, ensuring transparency and informed decision-making
Maintain detailed audit records, findings, and recommendations securely for at least ten years as per regulatory guidelines
Stakeholder Engagement & Issue Resolution: Actively collaborate with departmental leads and senior stakeholders, facilitating the timely implementation of audit recommendations and proactively tracking the resolution of identified issues to enhance internal controls continuously
Investigations & Records Access: Lead ad hoc investigations into suspected fraud, data breaches, or whistleblower reports, ensuring unrestricted and timely access to all required records, documentation, and personnel to fulfill audit responsibilities effectively

Salary benchmarks

Our take

Historically, the wealth-building opportunities afforded by investment have been reserved for those who already have money to spare, but Capital.com is working to change this. The company supplies a trading platform for everyday people to access trading opportunities and training resources, harnessing the power of technology to do so.

Founded in 2016, Capital.com is now a global company, boasting year-on-year growth since it launched. Its platform gives users access to over 3,700 markets for investing directly in global stocks and ETFs, or trade derivatives across the world. Focused on removing the barriers of entry for trading, the company supplies 24/7 customer service, on top of learning tools such as rolling news feeds, access to a demo account, and a YouTube channel.

Capital.com is one of Europe’s fastest-growing investment-trading platforms and aims to continue its expansion whilst solidifying current operations. With an active and growing user base, that continued to grow despite a downturn in the market in 2022, the company is poised to maintain its successes into the future.