Senior Internal Auditor

<div><h3>Overview</h3><p><b>Company&Culture</b><br/>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.</p><p>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.</p><p><b>About the Role</b></p><p>We are seeking an experienced Senior Internal Auditor to lead our Group Internal Audit function. You will be responsible for establishing and executing the internal audit strategy across our regulated entities in the European Union, United Kingdom, Hong Kong, and Dubai. Working alongside one Internal Auditor, you will provide independent assurance to the Board and Audit Committee on the effectiveness of governance, risk management, and internal controls across the group.</p><p>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.</p><p>This is a high-visibility role offering direct engagement with senior leadership and regulators, and the opportunity to shape the internal audit function within a growing international group.</p><p><b>Reports to:</b>Group Chief Financial Officer (administrative reporting) / Audit Committee (functional reporting)</p><p><b>Direct Reports:</b>Internal Auditor (1)</p><h3>Key Responsibilities</h3><p><b>Leadership and Strategy</b></p><ul><li>Lead the Group Internal Audit function, setting the strategic direction and annual audit plan</li><li>Supervise, mentor, and develop the Internal Auditor, including review of their work</li><li>Serve as the primary point of contact for the Audit Committee on all internal audit matters</li><li>Build and maintain the internal audit methodology, charter, and quality assurance framework</li><li>Represent Internal Audit in interactions with external auditors and regulatory bodies</li><li>Champion a strong risk and control culture across the organisation</li></ul><p><b>Audit Planning and Execution</b></p><ul><li>Utilise enterprise-wide risk assessments (produced by the Risk function) to inform risk-based audit planning</li><li>Lead and execute complex audits of financial, operational, compliance, and IT controls, including technology-enabled processes such as 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</li><li>Allocate audit resources effectively across jurisdictions and business units</li><li>Ensure audits are completed on time, within budget, and to a high standard</li><li>Apply continuous auditing techniques, leveraging direct system data extraction and automated control testing where feasible to enhance audit efficiency and coverage</li></ul><p><b>Regulatory and Compliance Assurance</b></p><ul><li>Provide assurance over compliance with multi-jurisdictional regulatory requirements, including:</li><li><b>EU:</b>MiFID II, AIFMD, UCITS, GDPR, DORA, AML Directives (as applicable)</li><li><b>UK:</b>FCA rules, including SMCR, Consumer Duty, and relevant prudential requirements</li><li><b>Hong Kong:</b>SFC Code of Conduct, AML/CFT requirements</li><li><b>Dubai (DIFC):</b>DFSA Rulebook, including conduct of business and AML rules</li></ul><p>Approach operational resilience and DORA requirements as opportunities for integrated, pragmatic assurance—mapping critical services, key dependencies, and controls—rather than standalone regulatory exercises. Monitor regulatory developments and assess their implications for the audit plan. Liaise with local compliance officers to coordinate assurance activities and avoid duplication.</p><p><b>Reporting and Governance</b></p><ul><li>Prepare and present audit reports, annual opinions, and thematic reviews to the Audit Committee</li><li>Provide independent assessment of the group’s overall control environment and risk profile</li><li>Track and report on the status of management action plans and overdue findings</li><li>Escalate significant control weaknesses or emerging risks to senior management and the Board</li><li>Prepare materials for regulatory examinations and respond to regulatory inquiries as needed</li></ul><p><b>Advisory a