Head of Internal Audit
Capital.com · Arizona, United States · 1 mo ago
HybridFull-time
We need to output HTML fragment with sections: About the role? The posting includes intro paragraph about company, then "Responsibilities" list, then "Requirements" list, then "What Will You Get in Return?" which includes benefits and pay etc. We need to map to headings: About the role, Responsibilities, Requirements, Benefits, Pay, Schedule, Skills, Qualifications. But we should only include sections that have real specific content.
We have:
- Intro paragraph: "We are a leading trading platform..." That's about the role/company. Could be "About the role". Use
About the role
thenwith that paragraph. - Responsibilities: list of bullet points. Use
Responsibilities
then- each.
- Requirements: list of bullet points. Use
Requirements
then- each.
- Benefits: "What Will You Get in Return?" includes Competitive Salary, Work-Life Harmony, Generous Time Off, Employee Referral Program, Comprehensive Health & Pension Benefits, Workation Wonderland, Volunteer Days, plus other statements: "Be a key player..." etc. This is benefits. So we can have
Benefits
then- each benefit.
- Pay: The posting mentions "Competitive Salary" but not specific numbers. According to rule: never emit a heading followed by filler/placeholder text like "commensurate with experience", "not specified", "N/A", "varies", "TBD". "Competitive Salary" is vague but still a statement. Is that considered filler? It's not a specific number. The rule says: never emit a heading followed by filler/placeholder text (e.g. "commensurate with experience", "not specified", "N/A", "varies", "TBD") and never create Pay/Schedule/Benefits sections unless the posting actually states them. It says "unless the posting actually states them." The posting does state "Competitive Salary". That is a statement about pay, albeit vague. Should we include Pay section? The instruction: Prefer a few substantive sections over many thin ones. Also we already have Benefits section that includes Competitive Salary as a bullet. Could we combine Pay into Benefits? The rule says we should not create Pay section unless posting actually states them. It does state Competitive Salary, but we could treat that as part of Benefits. However they ask to use headings for Benefits, Pay, Schedule etc. If we include Pay, we need to put something under it. If we put just "Competitive Salary" as a bullet, that's not filler? It's still vague but it's actual content. The rule says avoid filler like "commensurate with experience", "not specified", etc. "Competitive Salary" is somewhat vague but not exactly those examples. Might be okay. However they also say "Prefer a few substantive sections over many thin ones." Having both Benefits and Pay might be thin. Better to incorporate Pay into Benefits, as we already have a bullet for Competitive Salary. So we will not create a separate Pay section.
- Schedule: Not mentioned. So no Schedule section.
- Skills: Not explicitly separate; requirements include skills. Could we have Skills section? The posting includes language proficiency etc. But we already have Requirements covering that. Better not to create Skills unless distinct.
- Qualifications: Could be similar to Requirements. We'll keep Requirements.
Thus sections: About the role, Responsibilities, Requirements, Benefits.
Now we need to strip boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, application instructions. The posting includes lines about AI tools, contact us, etc. Those are boilerplate; we should remove them. Also lines like "We may use artificial intelligence (AI) tools..." etc. Remove.
Also remove duplicated lines: I don't see duplicates.
Now we need to preserve all substantive information. Let's extract the substantive paragraphs.
Intro: "We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team."
That's it.
Responsibilities bullet list:
- Establish and lead the Company’s independent internal audit function, including its framework, methodology and resourcing
- Report regularly to the Audit Committee and Supervisory Board, including on outstanding and overdue audit actions
- Prepare long-term and annual risk-based audit plans and budgets for approval by the Audit Committee and Supervisory Board
- Maintain complete audit documentation and periodic and annual activity reports, support timely regulatory submissions, and keep the audit plan current in light of regulatory developments and changes to the business or its risk profile.
- Lead independent audits across all Company’s business activities in accordance with Azerbaijani law, CBAR requirements and the IIA’s Global Internal Audit Standards
- Assess governance, risk management and key controls, including client onboarding, order execution, product governance, client assets, AML/CFT, regulatory reporting, IT and cybersecurity, business continuity and third-party services
- Deliver clear audit reports and practical recommendations, promptly escalate material findings and monitor remediation to closure
- Safeguard internal audit’s independence and unrestricted access, coordinate with regulators, external auditors and other assurance functions, and manage internal or co-sourced audit resources
- Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis
Requirements bullet list:
- Higher economic, finance or legal education (university degree)
- Not less than five (5) years of relevant professional experience in the financial services sector, of which at least three (3) years in managerial roles
- Strong practical knowledge of Azerbaijani capital markets legislation and CBAR requirements applicable to investment companies, including corporate governance standards, internal control and risk management requirements, client asset protection, client categorisation and retail client protection rules, and regulatory reporting obligations
- Experience auditing key controls within regulated financial services, including AML/CFT and sanctions, regulatory reporting, client protection, IT and cybersecurity
- Meets the “fit and proper” requirements applicable to the Head of Internal Audit of a licensed entity under the Securities Market Law, including strong professional reputation and integrity and no relevant criminal convictions or ongoing proceedings
- Has not been dismissed within the last three (3) years on the grounds of insufficient qualifications, and has not been a member of the management of an entity that was liquidated or declared bankrupt within one (1) year prior to appointment
- No concurrent roles with other regulated entities or other paid activities that may give rise to a conflict of interest, except for scientific, teaching or creative activities permitted under applicable law
- An international professional qualification (CIA, ACCA, CISA, CFSA, CPA, CIMA, CFA, FRM) is a significant advantage
- Proven experience leading audit engagements or an internal audit function; experience establishing an audit function for a licensed financial institution is an advantage
- Experience of being approved by financial regulators for senior management roles is considered an advantage
- Experience in retail brokerage or investment services, particularly derivatives and/or equities, will be considered an advantage
- Be able to handle complex issues, projects and processes
- Demonstrate strong moral and ethical principles. A willingness to learn, accept accountability, demonstrate initiative and support effective co-operation
- Strong sense of integrity and responsibility
- Azerbaijani - fluent; English - good written and spoken proficiency is required
Benefits bullet list from "What Will You Get in Return?":
- Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated
- Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock
- Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry
- Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team
- Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
- Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
- Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community
- Be a key player at the forefront of the digital assets movement, propelling your career to new heights!
- Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity.
- Work alongside one of the most brilliant teams in the industry.
Note: The last three bullets are more like statements but still part of benefits. We'll keep them.
Now we need to output HTML fragment only, no markdown fences.
We'll produce:
About the role
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
Responsibilities
- Establish and lead the Company’s independent internal audit function, including its framework, methodology and resourcing
- Report regularly to the Audit Committee and Supervisory Board, including on outstanding and overdue audit actions
- Prepare long-term and annual risk-based audit plans and budgets for approval by the Audit Committee and Supervisory Board
- Maintain complete audit documentation and periodic and annual activity reports, support timely regulatory submissions, and keep the audit plan current in light of regulatory developments and changes to the business or its risk profile.
- Lead independent audits across all Company’s business activities in accordance with Azerbaijani law, CBAR requirements and the IIA’s Global Internal Audit Standards
- Assess governance, risk management and key controls, including client onboarding, order execution, product governance, client assets, AML/CFT, regulatory reporting, IT and cybersecurity, business continuity and third-party services
- Deliver clear audit reports and practical recommendations, promptly escalate material findings and monitor remediation to closure
- Safeguard internal audit’s independence and unrestricted access, coordinate with regulators, external auditors and other assurance functions, and manage internal or co-sourced audit resources
- Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis
Requirements
- Higher economic, finance or legal education (university degree)
- Not less than five (5) years of relevant professional experience in the financial services sector, of which at least three (3) years in managerial roles
- Strong practical knowledge of Azerbaijani capital markets legislation and CBAR requirements applicable to investment companies, including corporate governance standards, internal control and risk management requirements, client asset protection, client categorisation and retail client protection rules, and regulatory reporting obligations
- Experience auditing key controls within regulated financial services, including AML/CFT and sanctions, regulatory reporting, client protection, IT and cybersecurity
- Meets the “fit and proper” requirements applicable to the Head of Internal Audit of a licensed entity under the Securities Market Law, including strong professional reputation and integrity and no relevant criminal convictions or ongoing proceedings
- Has not been dismissed within the last three (3) years on the grounds of insufficient qualifications, and has not been a member of the management of an entity that was liquidated or declared bankrupt within one (1) year prior to appointment
- No concurrent roles with other regulated entities or other paid activities that may give rise to a conflict of
- each benefit.
- Pay: The posting mentions "Competitive Salary" but not specific numbers. According to rule: never emit a heading followed by filler/placeholder text like "commensurate with experience", "not specified", "N/A", "varies", "TBD". "Competitive Salary" is vague but still a statement. Is that considered filler? It's not a specific number. The rule says: never emit a heading followed by filler/placeholder text (e.g. "commensurate with experience", "not specified", "N/A", "varies", "TBD") and never create Pay/Schedule/Benefits sections unless the posting actually states them. It says "unless the posting actually states them." The posting does state "Competitive Salary". That is a statement about pay, albeit vague. Should we include Pay section? The instruction: Prefer a few substantive sections over many thin ones. Also we already have Benefits section that includes Competitive Salary as a bullet. Could we combine Pay into Benefits? The rule says we should not create Pay section unless posting actually states them. It does state Competitive Salary, but we could treat that as part of Benefits. However they ask to use headings for Benefits, Pay, Schedule etc. If we include Pay, we need to put something under it. If we put just "Competitive Salary" as a bullet, that's not filler? It's still vague but it's actual content. The rule says avoid filler like "commensurate with experience", "not specified", etc. "Competitive Salary" is somewhat vague but not exactly those examples. Might be okay. However they also say "Prefer a few substantive sections over many thin ones." Having both Benefits and Pay might be thin. Better to incorporate Pay into Benefits, as we already have a bullet for Competitive Salary. So we will not create a separate Pay section.
- Schedule: Not mentioned. So no Schedule section.
- Skills: Not explicitly separate; requirements include skills. Could we have Skills section? The posting includes language proficiency etc. But we already have Requirements covering that. Better not to create Skills unless distinct.
- Qualifications: Could be similar to Requirements. We'll keep Requirements.
Thus sections: About the role, Responsibilities, Requirements, Benefits.
Now we need to strip boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, application instructions. The posting includes lines about AI tools, contact us, etc. Those are boilerplate; we should remove them. Also lines like "We may use artificial intelligence (AI) tools..." etc. Remove.
Also remove duplicated lines: I don't see duplicates.
Now we need to preserve all substantive information. Let's extract the substantive paragraphs.
Intro: "We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team."
That's it.
Responsibilities bullet list:
- Establish and lead the Company’s independent internal audit function, including its framework, methodology and resourcing
- Report regularly to the Audit Committee and Supervisory Board, including on outstanding and overdue audit actions
- Prepare long-term and annual risk-based audit plans and budgets for approval by the Audit Committee and Supervisory Board
- Maintain complete audit documentation and periodic and annual activity reports, support timely regulatory submissions, and keep the audit plan current in light of regulatory developments and changes to the business or its risk profile.
- Lead independent audits across all Company’s business activities in accordance with Azerbaijani law, CBAR requirements and the IIA’s Global Internal Audit Standards
- Assess governance, risk management and key controls, including client onboarding, order execution, product governance, client assets, AML/CFT, regulatory reporting, IT and cybersecurity, business continuity and third-party services
- Deliver clear audit reports and practical recommendations, promptly escalate material findings and monitor remediation to closure
- Safeguard internal audit’s independence and unrestricted access, coordinate with regulators, external auditors and other assurance functions, and manage internal or co-sourced audit resources
- Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis
Requirements bullet list:
- Higher economic, finance or legal education (university degree)
- Not less than five (5) years of relevant professional experience in the financial services sector, of which at least three (3) years in managerial roles
- Strong practical knowledge of Azerbaijani capital markets legislation and CBAR requirements applicable to investment companies, including corporate governance standards, internal control and risk management requirements, client asset protection, client categorisation and retail client protection rules, and regulatory reporting obligations
- Experience auditing key controls within regulated financial services, including AML/CFT and sanctions, regulatory reporting, client protection, IT and cybersecurity
- Meets the “fit and proper” requirements applicable to the Head of Internal Audit of a licensed entity under the Securities Market Law, including strong professional reputation and integrity and no relevant criminal convictions or ongoing proceedings
- Has not been dismissed within the last three (3) years on the grounds of insufficient qualifications, and has not been a member of the management of an entity that was liquidated or declared bankrupt within one (1) year prior to appointment
- No concurrent roles with other regulated entities or other paid activities that may give rise to a conflict of interest, except for scientific, teaching or creative activities permitted under applicable law
- An international professional qualification (CIA, ACCA, CISA, CFSA, CPA, CIMA, CFA, FRM) is a significant advantage
- Proven experience leading audit engagements or an internal audit function; experience establishing an audit function for a licensed financial institution is an advantage
- Experience of being approved by financial regulators for senior management roles is considered an advantage
- Experience in retail brokerage or investment services, particularly derivatives and/or equities, will be considered an advantage
- Be able to handle complex issues, projects and processes
- Demonstrate strong moral and ethical principles. A willingness to learn, accept accountability, demonstrate initiative and support effective co-operation
- Strong sense of integrity and responsibility
- Azerbaijani - fluent; English - good written and spoken proficiency is required
Benefits bullet list from "What Will You Get in Return?":
- Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated
- Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock
- Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry
- Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team
- Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
- Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
- Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community
- Be a key player at the forefront of the digital assets movement, propelling your career to new heights!
- Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity.
- Work alongside one of the most brilliant teams in the industry.
Note: The last three bullets are more like statements but still part of benefits. We'll keep them.
Now we need to output HTML fragment only, no markdown fences.
We'll produce:
- each.
- Benefits: "What Will You Get in Return?" includes Competitive Salary, Work-Life Harmony, Generous Time Off, Employee Referral Program, Comprehensive Health & Pension Benefits, Workation Wonderland, Volunteer Days, plus other statements: "Be a key player..." etc. This is benefits. So we can have