Consultant / Senior Consultant – Investment Management

About the role

We are seeking an experienced Consultant or Senior Consultant to provide independent assurance and advisory services across investment banking, capital markets, and securities operations. The role will focus on risk‑based internal audits, regulatory compliance, and governance in line with the CMA framework and IIA Global Internal Audit Standards.

Key responsibilities

• Plan and execute risk‑based internal audits for investment banking, advisory, brokerage, market‑making, custody, settlement, research, and treasury functions.
• Develop Risk & Control Matrices (RCMs) and test control design and operating effectiveness.
• Prepare draft and final audit reports with observations, root causes, risk ratings, and actionable recommendations.
• Review internal controls over IFRS 9, IFRS 13, trading‑book valuation, and expected credit loss.
• Assess trade lifecycle, front/middle/back‑office segregation, position and limit monitoring, and client‑money segregation per CMA rules.
• Evaluate information barriers, market conduct, insider‑trading, conflicts‑of‑interest, suitability, and best‑execution controls.
• Examine governance structures, Board and Committee effectiveness, and Delegation of Authority.
• Liaise with senior management, Audit Committee, Risk & Compliance teams, external auditors, and custodians.
• Present audit findings and risk themes to senior stakeholders and support IA strategy and annual planning.

Required profile

• Bachelor’s or master’s degree in Accounting, Finance, or Business.
• 5–12 years of relevant experience in investment, capital markets, or securities audits (KSA experience preferred).
• Professional certifications: CIA (highly preferred); CPA, CA, ACCA, CFA, or FRM are a plus.

Required skills

• Strong understanding of capital markets products and the trade‑to‑settlement lifecycle.
• Knowledge of brokerage, dealing, and market‑making operations.
• Familiarity with investment banking and advisory processes.
• Expertise in IFRS 9 and IFRS 13.
• In‑depth knowledge of the CMA regulatory framework.
• Hands‑on experience with Risk & Control Matrices (RCMs) and audit methodologies.