EXANTE
501 - 1000 employees
Founded 2011
💳 Fintech
💸 Finance
🤝 B2B
Fintech • Finance • B2B
EXANTE is a global prime broker and fintech firm founded in 2011 that provides direct access to over 2 million financial instruments across 50+ markets through a proprietary, customizable trading platform (desktop, web, mobile) with API and white-label options. It serves institutional and professional clients — banks, brokerages, asset managers, family offices, and professional traders — offering trade execution, custody arrangements, regulatory coverage, and dedicated relationship and post-trade support.
Compliance Audit Manager
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EXANTE
501 - 1000 employees
Founded 2011
💳 Fintech
💸 Finance
🤝 B2B
Fintech • Finance • B2B
EXANTE is a global prime broker and fintech firm founded in 2011 that provides direct access to over 2 million financial instruments across 50+ markets through a proprietary, customizable trading platform (desktop, web, mobile) with API and white-label options. It serves institutional and professional clients — banks, brokerages, asset managers, family offices, and professional traders — offering trade execution, custody arrangements, regulatory coverage, and dedicated relationship and post-trade support.
📋 Description
• Execute assigned audit engagements from planning through to reporting under the guidance of the Head of Audit. • Conduct walkthroughs, document processes, and evaluate the design and operating effectiveness of internal controls. • Perform comprehensive testing of IT General Controls (ITGCs) and automated or manual business process controls across key systems and platforms. • Leverage direct system data extraction and automated testing techniques rather than relying solely on manual samples. • Prepare clear working papers supporting audit conclusions using a proportionate, risk-based approach. • Test compliance across group entities, including EU (MiFID II, AIFMD, UCITS, GDPR, AML), UK (FCA, SMCR, Consumer Duty), Hong Kong (SFC Code of Conduct, AML/CFT), and Dubai (DFSA Rulebook, AML). • Stay informed of global regulatory developments while collaborating with local compliance teams to gather information and clarify expectations. • Draft audit findings, discuss results with process owners, and agree on practical management action plans (MAPs). • Monitor the status of open findings, rigorously validate remediation actions, and maintain accurate audit system records. • Manage co-sourced and outsourced audit providers to ensure seamless, high-quality execution of specialized reviews. • Assist the Head of Audit with Audit Committee materials, support external audits, and coordinate regulatory examinations. • Contribute to continuous improvement initiatives, specifically driving the development of data analytics and continuous auditing capabilities.
🎯 Requirements
• Bachelor's degree in Law, Compliance, Accounting, Finance, Business Administration, Information Systems, or a related field. • 5+ years of experience in internal audit, external audit, or risk/compliance roles. • Experience auditing or working closely within the investment space, such as brokerages, exchanges, trading platforms, wealth management, or fast-paced fintech environments. • Exposure to at least two of the following regulatory environments is advantageous: EU, UK, Hong Kong, or Middle East (DIFC/DFSA). • Familiarity with audit management software and the Microsoft Office suite (particularly advanced Excel).
🏖️ Benefits
• Professional certification completed or actively in progress: CIA, CISA, CAMS (ACAMS), or a recognized regulatory compliance qualification (e.g., ICA Diploma). • A commitment to obtaining additional relevant specialized certifications (e.g., CISA, CRISC, CRMA) is highly valued.
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