Junior Audit Associate - Compliance

BGC Group; London; On-site; GBP 30,000 - 45,000; Full time

Job summary

A leading global financial services provider is seeking a Junior Audit Associate in London. The role offers hands-on experience in performing audits and compliance evaluations, providing essential insights across various business functions. Successful candidates will possess relevant qualifications, strong analytical skills, and the ability to communicate effectively with stakeholders at all levels.

Qualifications

• + years of relevant experience.
• Relevant certifications CAMS/ACSS/CIA/CFE would be strong assets.
• Deep knowledge of compliance program requirements.

Responsibilities

• Perform risk-based audit work including detailed documentation review.
• Prepare clear audit work papers and ensure timely delivery.
• Establish relationships with key stakeholders and provide guidance.

Skills

Analytical skills

Negotiation

Communication

Education

Undergraduate degree or relevant professional certifications

Tools

MS Office

Job description

Job Title: Junior Audit Associate – Compliance

Location: London

Position Summary:

The Associate is expected to execute audits on Cantor Fitzgerald Group of Companies. As part of the global Internal Audit team, the individual might be involved in engagements across various businesses, including Cantor Fitzgerald, BGC Group Inc, and Newmark Group Inc.

Key Responsibilities:

• Perform risk-based audit work, including walkthroughs, flowcharts, documentation review, and substantive testing.
• Assess control strengths and weaknesses and ensure compliance with policies and procedures.
• Prepare audit work papers in line with Internal Audit Policies.
• Ensure timely delivery of audit work.
• Draft and present audit reports and management action plans for review.
• Follow-up on control issues with business and compliance leaders.
• Build and maintain relationships with audit clients and key stakeholders.
• Advise senior leadership on emerging trends and issues to facilitate improvements.

Key Requirements:

• Relevant experience plus undergraduate degree or professional certifications such as CAMS, ACSS, CIA, CFE, or equivalent.
• Knowledge of compliance programs (KYC/EDD, AML & Sanctions) and regulatory requirements.
• Experience in areas like Investment Banking, Fixed Income, Real Estate, Commodities, SOX Testing, Asset Management, or related fields is a plus.
• Ability to handle confidential information with integrity.
• Proficiency in MS Office and analytical tools.
• Strong negotiation and decision-making skills.
• Effective communication and relationship-building abilities in a dynamic environment.