Internal Audit Manager

ADSS is a successful retail and institutional brokerage based in Abu Dhabi. The company is currently undergoing a multi-year transformation to become a fast growing, purpose-led, data-driven enterprise that delivers market-leading personalized content, propositions and experiences to traders. To reinforce client-centricity the company structure, technology and operations are being redesigned alongside the crafting of a high-performance culture underpinned by The ADSS Way. The objective is for ADSS to become a dynamic and innovative, trusted market leader as measured by feedback from clients, talent, shareholders and competitors.The Internal Audit Manager – Business Audits is responsible for leading and delivering independent, risk‑based internal audits across ADSS’s front‑office, client‑facing, commercial, and core business activities. The role provides assurance and advisory insights over business processes, conduct, products, revenue streams, and client journeys, supporting sustainable growth, regulatory compliance, and positive client outcomes.3. Key Responsibilities and AccountabilitiesBusiness Audit Planning & ExecutionLead the planning, execution, documentation and archival in line with Internal Audit Methodology of risk‑based internal audits of business and support areas, in line with the approved Internal Audit Plan, covering:Front‑office and trading activities (business and conduct aspects)Sales practices, client onboarding, and client lifecycle managementProduct governance, pricing, and product changesMarketing, commercial initiatives, and growth programsBusiness operations impacting client outcomes and revenueBusiness support functions, such as back and middle office, risk management, compliance, human capital management and procurement and strategic functions, such as governance, product development and similar.Assess the design and operating effectiveness of business controls supporting:Strategic objectivesRevenue generationClient protection and conductRegulatory and policy complianceParticipate as a stakeholder or coordinator in shareholder initiated internal audit assignments, in line with the shareholder requirements.Perform end‑to‑end business process reviews, identifying root causes of control gaps, inefficiencies, conduct risks, or client detriment.Review new or changing business initiatives (e.g. new products, campaigns, market expansion, process redesigns) and provide early assurance over business control design and risk management.Coordinate and participate in end-to-end audit risk assessments with the objective to define and update the periodic internal audit planning.Review and amend the audit universe and areas which require to be added to the internal audit universe.Assist while providing review and update to key internal audit functional governance processes and procedures documentation, including internal audit strategic plan, internal audit methodology, internal audit department and Audit and Risk Committee (ARC) Charter.If and when inquired, assist Executive Management and stakeholders with providing independent insight of the internal controls, risk management and key governance good practices and requirements.Assist or act as a coordinator and point of contact for external audit and statutory audit and assurance activities in the organization.When and if required, report to Director of Internal Audit matters in relation to breach of governance, policies and processes, or regulatory requirements for being considered for remediation action and, if required, further escalation, in line with regulators requirements.Reporting, Insights & Issue ManagementPrepare high‑quality audit reports that clearly articulate business risks, impacts, and practical, business‑focused recommendations.Engage with management to agree proportionate and effective remediation actions.Track and validate the timely implementation of audit recommendations, escalating high‑risk or overdue issues to the Director – Internal Audit. Assess design and effectiveness of remediation actions.Provide thematic insights on recurring business risks, conduct trends, and control maturity.Assist with preparation of periodic internal audit updates, reports and dashboards to executive management, ARC and other stakeholders, if required.Advisory & Stakeholder EngagementAct as a trusted advisor to business leaders on emerging business, conduct, and regulatory risks.Build strong, professional relationships with executive management, leadership and key stakeholders in diverse functions of the organization.Where business audits involve technology‑enabled processes, coordinate with the Internal Audit Manager – Information Technology (IT) Audits the required approach and execution.When and if required, participate in planning, execution and coordination of IT assignments.Ensure clear ownership of business vs. technology risksAvoid duplication and ensure efficiency and effectiveness in planning and coordinating shareholder, third party assurance providers and internal audit plan assignments.Achieve comprehensive end‑to‑end audit coverage(This coordination does not include performing IT audits or assuming IT audit accountability.)People & Team LeadershipSupervise, coach, and review the work of Associates on business audit assignments and during administrative and support tasks.Allocate work effectively, provide constructive feedback, and support professional development.Contribute to the continuous improvement of Internal Audit methodology, tools, and business audit practices.Assist Director of Internal Audit and ensure back up for Director of Internal Audit and peer-colleagues during required periods and on assigned tasks.Professional Standards & ConductEnsure audits are performed in accordance with the Internal Audit Charter, approved methodology, and the IIA International Professional Practices Framework.Maintain up‑to‑date knowledge of industry developments, market practices, and regulatory expectations relevant to brokerage and financial services.Uphold the highest standards of integrity, objectivity, confidentiality, ethics and professional judgement.Ensure independence at all times and advice about any instances when independence cannot be ensured for seeking appropriate course of action.Maintain required levels of self and professional development at all times, including on ethics, regulations, compliance and business activities.QualificationsBachelor’s degree in Accounting, Finance, Business Administration, or a related discipline is required.Professional certification preferred: Certified Internal Auditor (CIA), Chartered Accountant (CA) or Association of Chartered Certified Accountants (ACCA) member, Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), Certified Information Systems Auditor (CISA), or equivalent.ExperienceMinimum of 7-9 years of progressive experience in internal audit, external audit, or risk management, preferably within the financial services or a large corporate environment, Minimum experience in managerial role of at least 2 years.Proven experience in leading and managing audit teams and complex audit engagements.Proven experience in working with process owners at all professional levels, including stakeholders from Leadership and Executive Management groups.Demonstrate understanding of internal control frameworks (e.g., COSO), requirements of Abu Dhabi Accountability Authority (ADAA) and the International Standards for the Professional Practice of Internal Auditing (IIA Standards).Skills and CompetenciesStrong understanding of business and support processes in trading and dealing, including retail and institutional brokerage, governance, regulatory requirements, business conduct, and client‑outcome risks in financial services.Understanding of IT General Controls and requirements in relation to IT and IT security in the Emirate of Abu Dhabi.Excellent analytical judgement and problem‑solving skills.Ability to translate audit findings into clear, practical business insights that address the root causes for such findings and are achievable by the relevant implementing process owners.Strong written and verbal communication skills in English. Strong report writing skills and prior experience.Effective people‑management and coaching capabilities.At all times demonstrate business acumen, understanding of subject areas and focus on substance over form, unless it is expressly required by relevant regulations, processes or policies.Understanding of financial accounting and financial reporting.