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Director – Front office – Investments

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Broster Buchanan

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Location:
United Kingdom , North Yorkshire

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Category:
Finance

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Contract Type:
Not provided

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Salary:

97000.00 GBP / Year
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Job Description:

To lead the development and delivery of the Internal Audit for the front office Investment and Banking business areas, including compliance risk for the regulated investment business. Support the leadership of audit delivery across the audit plan and full audit universe, bringing specialist insight in banking, investments and compliance risk, to support effective delivery of the full audit programme.

Job Responsibility:

  • To lead the development and delivery of the Internal Audit for the front office Investment and Banking business areas, including compliance risk for the regulated investment business
  • Support the leadership of audit delivery across the audit plan and full audit universe, bringing specialist insight in banking, investments and compliance risk, to support effective delivery of the full audit programme

Requirements:

  • Provide audit leadership and subject matter domain expertise in governance, risks and control frameworks in the front office Investment and Banking business areas
  • Provide SME knowledge for compliance risk and control frameworks for the regulated investment business
  • Provide leadership to the internal audit team across the delivery of the full audit universe and Internal Audit plan
  • Lead Internal Audit engagement with management teams across the Investment and Banking businesses
  • Attend relevant committees and governance forums in areas of risk focus
  • Advise on or provide assurance for major projects, programmes, steering groups, and policy initiatives within Investment and Banking and other key areas
  • Develop and maintain the audit universe for the Investment and Banking business areas and associated risks
  • Lead the development of the risk-based Internal Audit Plan for these areas
  • Oversee the delivery of audit engagements by both in-house teams and co-sourced external providers
  • Ensure audit engagements are delivered in accordance with the audit manual, Global Internal Audit Standards, and the Internal Audit Code of Practice
  • Ensure overall delivery of the audit plan and contribute to the evidence-based annual opinion to the Audit Committee
  • Provide technical subject matter expertise and thought leadership in relation to Investment and Banking, FCA rules and guidance, and other key areas as required
  • Maintain the Internal Audit methodology and support the annual internal quality assessment to ensure conformance with IIA standards
  • Implement Internal Audit strategy and contribute to strategic workstreams to drive continuous improvement across the function
  • Line manage Senior Internal Audit Managers and Internal Audit Managers, fostering a high-performance culture through effective performance management and career coaching
  • Help determine the resources, expertise, qualifications, and systems required to meet Internal Audit’s objectives and deliver a high-quality service

Additional Information:

Job Posted:
March 04, 2026

Employment Type:
Fulltime
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