Internal Audit Manager - Investment Management

Forvis Mazars in the UK; Greater London; Sur place; GBP 65 000 - 90 000; Plein temps

Résumé du poste

Forvis Mazars in the UK is seeking an experienced Banking Risk Consulting professional to lead internal audit engagements for investment management and wealth clients. You will manage a portfolio, supervise auditors, and present findings to Audit Committees across a range of regulated firms.

The role emphasizes strong regulatory knowledge, stakeholder engagement, and robust report writing, with opportunities to grow within a collaborative, inclusive team across the UK.

Qualifications

• Experience planning, delivering and managing internal audit engagements.
• Experience with investment management, asset management & wealth management.
• Strong communication and report-writing skills for senior management.

Responsabilités

• Manage a portfolio of clients and oversee Internal Audit plan delivery.
• Lead internal audit fieldwork and supervise junior team members.
• Prepare and review internal audit reports and client deliverables.
• Lead opening/closing meetings with key client contacts (Exco).
• Develop and maintain client relationships and identify new opportunities.
• Ensure quality and risk standards across the team.

Connaissances

Internal audit management

Stakeholder engagement

Regulatory knowledge

Report writing

Formation

ACA, CA, ACCA, IIA or CII qualification

Outils

Audit software

Description du poste

Forvis Mazars is a leading global professional services network providing audit & assurance, tax, and advisory services. Forvis Mazars in the UK spans 14 offices across the nation and has over 3,400 professionals, with 190 partners. We have a clear purpose and a shared commitment to shape a better future.
You'll join a collaborative and inclusive team where you're supported to grow your skills, explore new opportunities, and contribute from day one. You'll work with a diverse client base, develop meaningful connections, and gain experience that extends beyond your local team. Together, we grow, belong and impact.

About The Team

The Banking Risk Consulting team primarily delivers outsourced and co‑sourced internal audit and internal controls services, while also supporting a broad range of risk and governance advisory engagements. These include internal controls reviews, SOX and UK Corporate Governance Code (Provision 29) readiness, enterprise risk management frameworks, combined assurance and external quality assessments.
Primarily, the team provide outsourced and co‑sourced internal audit services to investment management / banking service clients. However, we also provide (or support other teams with the delivery of) a range of risk-based engagements including corporate governance reviews and external quality assessments.
Having experienced significant growth, the team are looking for a motivated individual, who will have excellent opportunities for progression.

About The Role

• Management of a portfolio of clients, including overseeing the preparation and delivery of Internal Audit plan, Risk Assessments, client engagement, committee presentation and reporting.
• Performance and management of internal audit fieldwork along with supporting a team of internal auditors including assistant manager and senior consultants,
• Preparation and review of draft internal audit reports and other deliverables.
• Leading opening and closing meetings with key client contacts (Exco).
• Developing and maintaining good relationships with clients.
• Providing on-the-job training and supervision of junior team members.
• Identify opportunities and prospects for new work
• Lead the preparation of client proposals / pitches.
• Ensure Quality and Risk standards and procedures are maintained across the team.

What We Are Looking For

• Holds ACA, CA, ACCA, IIA, CII or equivalent professional qualification.
• Experience of planning, delivering and managing internal audit engagements.
• Experience of managing a portfolio of investment management, asset management & wealth management.
• Experience of delivering and leading internal audit reviews across areas such as:
  • Investment Management and Investment Processes
  • Product Governance and Consumer Duty
  • Conduct Risk, Conflicts of Interest and Personal Account Dealing.
  • Best Execution and Trade Execution / Dealing Controls.
  • Market Abuse Surveillance and Market Conduct.
  • Client Assets and CASS
  • Investment Operations
  • Valuation and Pricing
  • Compliance Frameworks and Regulatory Change.
  • Operational Resilience and Business Continuity.
  • Fund Governance and Oversight
• Good understanding of the UK regulatory framework applicable to investment managers, asset managers and wealth management firms, including relevant FCA requirements and expectations.
• Strong communication and report-writing skills, with the ability to communicate complex regulatory and risk matters clearly to senior management.
• Confidence in delivering training sessions, webinars and presentations to clients and colleagues.
• Experience of presenting Internal Audit findings, themes and assurance opinions to Audit Committees and other senior governance forums.
• Strong interpersonal, client-handling, commercial and project-management skills.

Diversity, Equity & Inclusion

At Forvis Mazars diversity, equity and inclusion are central to our values. We value our people's unique backgrounds, perspectives, and experience, and know this diversity create better outcomes for our clients. We seek to attract, develop, and retain the best talent, inclusive of sex, ethnicity, disability, socio-economic background, sexual orientation, gender identity, nationality, and faith. We select candidates based on skills, knowledge, qualifications, and experience and aim to support all our team members to reach their potential. At Forvis Mazars, we promote an environment in which you cangrowyour skills,belongto a team that values your ideas, and make animpactthat matters.