About the Role:
We are looking for an Advisor to join our Internal Audit team. This is an excellent opportunity for an audit professional looking to further develop their career within a regulated financial services environment.
Working as part of a collaborative audit function, you will support the delivery of risk-based audits across the business, helping to assess the effectiveness of governance, risk management, and internal control frameworks. You will be responsible for conducting audit fieldwork, analysing findings, identifying areas for improvement, and supporting the delivery of high-quality audit reports that help drive positive business outcomes.
Key Responsibilities:
- Deliver internal audit assignments across designated business areas.
- Develop audit scopes and audit plans for assigned reviews.
- Conduct audit fieldwork, assess controls, and identify risks, gaps, and areas for improvement.
- Prepare clear, concise audit findings and support the production of audit reports.
- Agree corrective actions with auditees and escalate significant issues to the Lead Auditor where appropriate.
- Gather, collate, and analyse data to identify key themes, trends, and control issues.
- Prepare complex documentation, reports, and audit working papers using standard business applications.
- Identify instances of non-compliance with internal policies, procedures, and regulatory requirements.
- Support stakeholder engagement activities by arranging meetings, preparing supporting materials, and fostering positive working relationships.
- Monitor key risk indicators and escalate deviations in line with established risk management frameworks.
About You:
You will be a proactive and detail-oriented audit professional with strong analytical skills and a desire to build a career within Internal Audit.
Knowledge & Experience:
You will have a good understanding of:
- IIA Standards and internal audit methodology.
- UK Corporate Governance Code and FCA regulatory expectations.
- UK financial services regulation, including SMCR, MiFID II and Basel III.
- Internal control and risk management frameworks such as COSO.
- Financial services products and operations, ideally within wealth management.
- Investment concepts and securities industry practices.
You will also demonstrate:
- Experience supporting or delivering internal audit reviews.
- Strong analytical and problem-solving skills.
- The ability to identify trends, root causes, and control weaknesses.
- Excellent written and verbal communication skills.
- Strong stakeholder engagement and relationship-building skills.
- A risk-focused mindset with the ability to apply professional scepticism.
- The ability to adapt to changing regulatory, business, and technology environments.
Qualifications:
- Bachelor's degree in Finance, Accounting, Business Administration, or a related discipline.
- Relevant professional qualification such as ACA, ACCA, CA, CIA, CPA, CFSA, CCSA, or CGAP is advantageous.
- Master's degree or equivalent professional qualification would be beneficial.
- Relevant experience within Internal Audit, Risk, Compliance, or Financial Services.
Advisor – Internal Audit in London employer: Charles Stanley
Raymond James Wealth Management is an exceptional employer that fosters a collaborative and supportive work culture, particularly within the Intermediary Partnerships Support team. Employees benefit from comprehensive training and development opportunities, ensuring personal and professional growth while contributing to meaningful client outcomes. Located in a dynamic financial services environment, the company prioritises employee well-being and offers a range of resources to enhance job satisfaction and performance.
