Compliance Audit Manager

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 Compliance Audit Manager to join our Group Internal Audit function. Working alongside the Head of Internal Audit, 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 an experienced audit professional to further develop broad exposure to multi-jurisdictional regulatory frameworks, technology-driven business operations, and senior stakeholders within an international group.

Key Responsibilities Audit Execution

• End-to-End Delivery: Execute assigned audit engagements from planning through to reporting under the guidance of the Head of Audit. • Controls Evaluation: Conduct walkthroughs, document processes, and evaluate the design and operating effectiveness of internal controls. • Technology & Process Testing: Perform comprehensive testing of IT General Controls (ITGCs) and automated or manual business process controls across key systems and platforms. • Data-Driven Approach: Leverage direct system data extraction and automated testing techniques rather than relying solely on manual samples. • Documentation & Risk Focus: Prepare clear working papers supporting audit conclusions using a proportionate, risk-based approach.

Regulatory & Compliance Testing

• Multi-Jurisdictional Compliance: Test compliance across group entities, including EU (MiFID II, AIFMD, UCITS, GDPR, AML), UK (FCA, SMCR, Consumer Duty), Hong Kong (SFC Code of Conduct, AML/CFT), and Dubai (DFSA Rulebook, AML). • Horizon Scanning & Coordination: Stay informed of global regulatory developments while collaborating with local compliance teams to gather information and clarify expectations.

Reporting, Follow-up & Collaboration

• Reporting & Action Plans: Draft audit findings, discuss results with process owners, and agree on practical management action plans (MAPs). • Remediation Tracking: Monitor the status of open findings, rigorously validate remediation actions, and maintain accurate audit system records. • Co-Sourcing Management: Manage co-sourced and outsourced audit providers to ensure seamless, high-quality execution of specialized reviews. • Leadership & External Support: Assist the Head of Audit with Audit Committee materials, support external audits, and coordinate regulatory examinations. • Audit Innovation: Contribute to continuous improvement initiatives, specifically driving the development of data analytics and continuous auditing capabilities.

Job Requirements Education and Certification

• Bachelor's degree in Law, Compliance, Accounting, Finance, Business Administration, Information Systems, or a related field. • Professional certification completed or actively in progress: CIA, CISA, CAMS (ACAMS), or a recognized regulatory compliance qualification (e.g., ICA Diploma). • A commitment to obtaining additional relevant specialized certifications (e.g., CISA, CRISC, CRMA) is highly valued.

Experience

• 5+ years of experience in internal audit, external audit, or risk/compliance roles. • Industry Background: Experience auditing or working closely within the investment space, such as brokerages, exchanges, trading platforms, wealth management, or fast-paced fintech environments. • Regulatory Exposure: Exposure to at least two of the following regulatory environments is advantageous: EU, UK, Hong Kong, or Middle East (DIFC/DFSA). • Tools: Familiarity with audit management software and the Microsoft Office suite (particularly advanced Excel).

Skills and Competencies

• Methodology: Solid understanding of internal control concepts and modern audit methodologies. • Digital Fluency: Ability to understand automated processes, complex system workflows, and cloud-based technology architectures. • Data Analytics: Strong analytical skills with the ability to extract, manipulate, and analyze data directly from systems. • Communication: Excellent written and verbal communication skills, with the ability to articulate complex risks clearly to non-audit stakeholders. • Execution: Proactive, curious, and eager to learn, with the ability to manage time effectively and meet deadlines across multiple assignments. • Professionalism: Strong interpersonal skills, collaborative mindset, and a high level of integrity. • Work Environment: Comfort working effectively in a lean, remote-first team environment.

Desirable Attributes (Nice to Have)

• Deep knowledge of the COSO framework and IIA Standards. • Hands-on exposure to IT general controls (ITGCs). • Understanding of API-based integrations and enterprise SaaS platforms. • Experience with data analytics tools and languages (e.g., SQL, Python, Power BI, ACL, IDEA).

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 .

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Compliance Audit Manager | Hong Kong, HK

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