We are looking for an experienced professional to join a growing Internal Audit team in a newly created position, with a particular focus on sales advisory, conduct and distribution-related risks.

This opportunity is particularly suited to candidates from insurance companies or Financial Advisory (FA) firms, including those currently in Internal Audit, Compliance or Line 1.5 / Business Risk who are keen to move into Internal Audit.

Key Responsibilities

1. Plan and execute risk-based internal audits, from scoping and control testing through to reporting and remediation follow-up.
2. Review the effectiveness of controls around sales advisory processes, conduct and regulatory requirements.
3. Conduct investigations, thematic reviews and Balanced Scorecard (BSC) reviews relating to sales practices and advisory standards.
4. Identify control gaps, root causes and emerging risks, and recommend practical improvements.
5. Partner closely with stakeholders across the 1st and 2nd Lines of Defence to identify potential red flags and strengthen controls.
6. Support major business and change initiatives from a risk and controls perspective.

Requirements

1. At least 5 years of relevant experience within financial services, ideally within insurance or an FA firm.
2. Strong exposure to BSC Reviews, sales advisory, sales conduct, distribution controls and/or regulatory compliance.
3. Candidates from Internal Audit, Compliance, Business Risk or Line 1.5 functions are welcome to apply.

Company Reg No.: 201131609D | License No.: 24S2411 | Reg No: R22109164 | Valenzuela Alexandra Marie Tolentino