Head of EMEA Conduct risk Audit

Head of EMEA

Conduct risk Audit Investment Bank

London City | Canary Wharf


Full time

£130k base competitive full package



Job Role:

This role directs the timely delivery of complex high quality, value added assurance and audit reports for a portfolio of business activities, which meet the requirements of the Boards of the bank, their affiliates and of the banks respective regulators, globally.

The role will be based in London with at least 2 direct reports. The person will work with the global and regional Markets leads to deliver the audit plan for IA Regulatory Initiatives and conduct risk Functions team.

Key Responsibilities:
  • Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and bank policies.
  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation, with specific focus on conduct risk, as well as business monitoring and governance committee reporting.
  • Contributes towards the delivery of high impact reports of IA’s contributions to executive management, regulators, and bank boards’ sub-committees, developing trend analyses and thematic reporting.
  • Directs complex audit activities for a component of a product line, function, or legal entity at the regional level including a portion of the audit annual plan.
  • Applies comprehensive expertise in one or more of the corporation’s businesses and leverages this knowledge into a leadership role in one or more teams.
  • Proactively advances integrated auditing concepts and use of technology.
  • Closely follows latest trends in own field and adapts them for application within own job and the business.
  • Manages a complex and critical unit within Internal Audit, including a medium sized team of Internal Audit professionals. Recruits staff, develops talent, builds effective teams, and manages a budget. Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and local regulations; applies a broad and comprehensive knowledge of high risk areas including: Consumer or Investment Banking, technology management; project/program management; regulatory compliance or supplier management.
  • •Proactively advances integrated auditing concepts. Leverages Internal Audit’s Centres of Excellence to improve audit processes and coverage.
  • Leads the professional development of Internal Audit staff.
  • Reviews and approves Business Monitoring Quarterly Summaries.
  • Fully supports and endorses the Quality Assurance function of Internal Audit and promptly accepts and remediates deficiencies found by QA.
  • •Develops effective senior line management relationships and has a strong understanding of the businesses.
  • Applies an in-depth understanding of the inter-relationships of business and support units throughout the corporation and how they impact the overall control environment and the audit approach.
  • Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional executive management partners and external audiences including regulators and external auditors. Frequently engages in both internal and external negotiations, which will have a major impact on the function and possibly on the organization as a whole.
  • •Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model.
  • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives.
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought, such as identifying solutions for a variety of complex and novel audit control issues. Analyzes reporting findings; Recommends appropriate interventions where needed. Proposes creative and pragmatic solutions for risk and control problems. Partners with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues.
  • Serves as lead reviewer for all types of reviews, including the most complex.
  • Significant number of years in internal audit with a focus on conduct risk.
  • Qualified ACA or equivalent (CIA, CISA, CFA), or relevant risk and control qualification.
  • SME knowledge in Conduct risk.
  • Extensive experience of managing global teams.
  • Senior stakeholder engagement.


Please send CV to sophie.bailey@eximius.com

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