At a Glance
- Tasks: Lead risk-based internal audits and deliver insights to improve governance and controls.
- Company: Dynamic financial services firm focused on innovation and compliance.
- Benefits: Competitive salary, professional development, and exposure to senior stakeholders.
- Other info: Fast-paced environment with opportunities for career advancement.
- Why this job: Influence risk culture and make a real impact in a growing industry.
- Qualifications: Strong understanding of audit methodologies and UK financial regulations.
The predicted salary is between 56059 - 68517 £ per year.
In this role you will lead risk-based internal audits within a growing financial services function, delivering independent assurance on governance, controls, and regulatory obligations. You will work with stakeholders across the business to identify improvements and support evidence-based decisions. The role emphasizes strengthening risk management frameworks and promoting continuous improvement in a regulated environment. This is an opportunity to influence controls and risk culture by delivering practical recommendations and clear audit insights.
Pay / Benefits
- competitive salary and benefits package
- ongoing professional development and support for further qualifications
- exposure to senior stakeholders and key initiatives
Responsibilities
- Manage and deliver a portfolio of internal audit assignments across the business
- Plan and execute risk-based audits ensuring identified risk areas are assessed
- Identify control weaknesses, process inefficiencies, and non-compliance with practical recommendations
- Analyse data, trends, and themes to support audit conclusions and decision-making
- Build relationships with stakeholders to understand risks and challenges
- Prepare clear audit reports for varied audiences
- Escalate significant findings and contentious issues when needed
- Contribute to enhancing risk management, governance, and internal controls
- Promote a culture of compliance, accountability, and continuous improvement
Key requirements
- Strong understanding of IIA Standards and internal audit methodologies
- Knowledge of UK Corporate Governance Code and FCA regulatory expectations
- Experience with UK financial services regulations (SMCR, MiFID II, Basel III)
- Familiarity with COSO internal control and risk management frameworks
- Experience in financial services products/operations, ideally wealth management
- Experience conducting internal audits with practical recommendations
- Strong analytical and trend/root cause identification skills
- Excellent report-writing and communication abilities
- Ability to influence stakeholders across all levels
- Comfort in a fast-changing regulatory and tech environment
- Stakeholder management
- Analytical mindset
- Proactive risk identification
- IIA standards
- UK Corporate Governance Code
- FCA regulatory expectations
Senior Advisor – Internal Audit 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.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Advisor – Internal Audit
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like Charles Stanley. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace Senior Advisor – Internal Audit
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to Charles Stanley.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on Charles Stanley's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at Charles Stanley
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Charles Stanley.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at Charles Stanley will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former Charles Stanley employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
