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 bespoke, internally engineered 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 a motivated Internal Auditor to join our Group Internal Audit function. Working alongside the Senior Internal Auditor, you will play a key role in delivering the annual audit plan across our regulated entities in the European Union, United Kingdom, Hong Kong, and Dubai.

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 an excellent opportunity for a developing audit professional to gain broad exposure to multi-jurisdictional regulatory frameworks, technology-driven business operations, and senior stakeholders within an international group.

 Reports to: Senior Internal Auditor

Key Responsibilities

Audit Execution

• Execute assigned audit engagements from planning through to reporting under the guidance of the Senior Internal Auditor
• Conduct walkthroughs, document processes, and evaluate the design and operating effectiveness of internal controls
• Perform testing of technology-enabled processes, including:
  • 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
• Leverage direct system data extraction and automated testing techniques rather than relying solely on manual samples
• Prepare clear, well-organised working papers that support audit conclusions and comply with internal methodology and IIA Standards
• Identify control weaknesses, document findings, and develop practical recommendations for improvement
• Apply a proportionate, risk-based approach to testing—focusing effort where it matters most rather than maximising coverage

Regulatory and Compliance Testing

• Test compliance with applicable regulatory requirements across group entities, including:
  • EU: MiFID II, AIFMD, UCITS, GDPR, DORA, AML Directives (as applicable)
  • UK: FCA rules, including SMCR, Consumer Duty, and AML requirements
  • Hong Kong: SFC Code of Conduct, AML/CFT requirements
  • Dubai (DIFC): DFSA Rulebook, conduct of business, and AML rules
• Support integrated assurance work on operational resilience and DORA, helping to map critical services, key dependencies, and controls
• Stay informed of regulatory developments relevant to the group's operations
• Coordinate with local compliance teams to gather information and clarify regulatory expectations

Reporting and Follow-up

• Draft audit findings and contribute to the preparation of audit reports
• Discuss findings with process owners and agree on management action plans
• Track the status of open audit findings and validate remediation actions
• Maintain accurate records in the audit management system

Collaboration and Development

• Support the Senior Internal Auditor in risk-based audit planning and scoping
• Assist with preparation of Audit Committee materials and status reports
• Participate in meetings with external auditors and support regulatory examinations as required
• Contribute to continuous improvement initiatives within the internal audit function, including the development of data analytics and continuous auditing capabilities
• Actively pursue professional development and work towards relevant certifications

Required Qualifications

Education and Certification

• Bachelor's degree in Accounting, Finance, Business Administration, Information Systems, or related field
• Professional certification in progress or completed: CIA, ACA, ACCA, CPA, or equivalent
• Commitment to obtaining additional relevant certifications (e.g., CISA, CRMA) is valued

Experience

• 2–4 years of experience in internal audit, external audit, or risk/compliance roles
• Experience auditing financial services, fintech, or other regulated entities preferred
• Exposure to at least one of the following regulatory environments is advantageous: EU, UK, Hong Kong, or Middle East (DIFC/DFSA)
• Familiarity with audit management software and Microsoft Office suite (particularly Excel)

Skills and Competencies

• Solid understanding of internal control concepts and audit methodology
• Digital fluency with the ability to understand automated processes, system workflows, and technology architectures
• Strong analytical skills with attention to detail and accuracy
• Ability to extract, manipulate, and analyse data from systems
• Good written and verbal communication skills
• Ability to manage time effectively and meet deadlines across multiple assignments
• Proactive, curious, and eager to learn
• Strong interpersonal skills and ability to work collaboratively with colleagues at all levels
• High level of integrity and professionalism

Desirable Attributes

• Experience in investment services, asset management, or fintech environments
• Exposure to IT general controls, cybersecurity, cloud environments, or operational resilience audits
• Proficiency with data analytics tools (e.g., SQL, Python, Power BI, ACL, IDEA)
• Understanding of API-based integrations and SaaS platforms
• Knowledge of COSO framework and IIA Standards
• Comfort working in a lean, remote-first team environment

What We Offer

• Competitive salary and benefits package
• Clear career progression pathway within the internal audit function
• International travel and exposure to multiple regulatory jurisdictions
• Mentorship from an experienced Senior Internal Auditor
• Direct visibility to senior management and the Audit Committee
• Support for professional certifications and 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 and relationship building.

Expected travel is approximately 25–40% of time to group entities across Europe, the UK, Hong Kong, and Dubai. The successful candidate should be comfortable with international travel and flexible scheduling.

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/.

We retain recruitment data only for as long as necessary for the purposes described above, after which it will be securely deleted unless we are required to keep it longer to comply with law or you consent to a longer retention.

Where personal data is transferred outside the EEA, it will be protected to a standard at least equivalent to that sought by the GDPR. Personal data is safeguarded by technical and organisational measures that are reviewed and updated regularly. This website is not intended for individuals under 18 and we do not knowingly collect data relating to children .