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Senior Compliance Auditor

3 months ago

London, Greater London, United Kingdom WEX Europe Ltd Full time

If you are looking for a new role then look no further we have a fantastic opportunity for a
Senior Auditor
/ International Regulatory Compliance to join our team.

We are looking for an experienced auditor with proven capabilities and audit experiences in banking regulatory requirements, e.g. Monetary Authority of Singapore, Central Bank of Ireland, Financial Conduct Authority, etc.

International Regulatory Compliance is expected to independently develop audit scopes, work programs, test plans and writing audit reports, as well as performing walkthroughs and controls testing.

The position requires the auditor to assess risk across a wide variety of business processes with an emphasis on bank regulatory requirements, and interface with all levels of the organization, including Executive Management.


The Senior Auditor, International Regulatory Compliance will:

  • Determine the objectives, evaluation, criteria, and scope of an audit engagement, including the selection of audit procedures and test steps
  • Prepare an engagement work program, including the initial timeline and budget, and assess throughout to raise potential overruns and or delays
  • Document supporting evidence, including the source of populations, sample selections, etc. in accordance with IPPF standards and IA work paper documentation requirements.
  • Evaluate the relevance, sufficiency, and reliability of potential sources of evidence
  • Discuss results of work with Audit Management, including deficiencies found and recommended corrective actions. Lead discussion of audit findings during exit meeting
  • Summarize and develop engagement conclusions and formulate recommendations to enhance and protect organizational value
  • Prepare interim report, prepare final audit report, seek approval, and distribute to appropriate parties
  • Attend Board meetings of the various regulated WEX Inc. international subsidiaries, including OFEL. Provide an annual audit plan, in collaboration with WEX Inc. Audit Leadership, for Board review and approval, and report on the outcome of audits
  • Manage monitoring and followup of the disposition of audit engagement results to Management
  • Effectively managing audit assignments within established scope, targeted deadlines, and budgeted hours. Ensuring that all of the high risk and regulatory required areas of the audits are adequately addressed and appropriately reported during the review
  • Identify opportunities with Corporate Audit Management to progress the Compliance audit project activities, including opportunities for control automation, risk identification and control design, tools and systems used to manage and record testing results, etc.
  • Understanding and keeping current with regulatory requirements applicable to regulated International Subsidiaries
  • Collaborating with Operations, Subsidiary Management and International Compliance personnel to provide feedback on financial regulatory compliance control design requirements for new products, new lines of business and new regions.
  • Support the Audit Manager, Regulatory Compliance in developing the International Subsidiary compliance portion of the audit plan
  • Consistently demonstrate WEX Value & Leadership Behaviors

Minimum Requirements

  • Education: Bachelor's degree, or equivalent professional experience
  • Licence/Certification: ICA, CAMS, CIA, or other relevant certifications strongly preferred
  • Experience: Minimum of 7 years of experience consisting of internal audit and banking regulations audit or compliance related field. Practical business experience helpful and may be considered in lieu of audit experience requirement
  • Able to lead and/or conduct complex audit assignments with limited supervision as determined by Audit Manager, Regulatory Compliance. This includes scoping audits, performing and documenting test procedures, formulating an opinion of the audit results, developing audit reports, and presenting results to Management.
  • Expert understanding of banking regulations as well as a baseline understanding of finance, IT general controls and general business operations, e.g. accounting monthly close process, human resources, purchasing & payables, etc.
  • Ability to examine regulatory requirements required by various competent authorities, e.g. CBI, FCA and MAS.; including performance measures and business processes used by the organization, e.g., risk assessments, program requirements, adherence to regulations, monitoring programs, etc.
  • Able to identify and assess various compliance risks related to banking regulatory requirements, as well as, describe risk management frameworks, including types of controls, e.g. prevent vs. detective.
  • Other:
Strong investigative and analytical skills required
Innovative thinker and problem solver with excellent communication skills, ability to distill key takeaways quickly, and presentation skills that allow effective interactions with business partners
Ability to speak and write effective