Head of Internal Audit — Union Bancaire Privée

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Head of Internal Audit, UBP UK NAME: CORPORATE JOB TITLE: Head of Internal Audit, London CORPORATE TITLE: TBC REPORTS TO: CEO, UBP UK & Group Head of Internal Audit & Head of the Audit Committee (Member of the Board of Directors) SENIOR MANAGEMENT FUNCTION (YES/NO): Yes PRESCRIBED RESPONSBILITY: SMF 5 MATERIAL RISK TAKER (YES/NO): Yes CERTIFIED (YES/NO): No CERTIFIED FUNCTIONS: LAST UPDATED: March 2026 Main Responsibilities This role will hold overall responsibility for Internal Audit across the UBP UK, providing risk-based objective assurance, advice and insight. UBP Internal Audit follows the standards of the profession, as well as the regulatory requirements and UBP Group policies and procedures. The Head of Internal Audit is responsible for independent and objective audits reviews of all UBP UK activities, aiming at providing the Group with assurance as to how effectively it is controlling its operations, advises on improvements. The role also assesses the quality of risk management within an audited scope, the appropriateness and effectiveness of the permanent control framework, the risk sensitivity of management and compliance with codes of conduct and expected professional practices. Role Duties

• The Head of Audit is responsible for managing, planning, and administering the internal audit function in the UK, Channel Islands and Gibraltar regions for all activities of UBP UK.
• Plan, supervise and take part in audits across all activities of UBP UK including financial, regulatory, compliance, operational audits as needed.
• Develop and maintain good relationships with the head and key management personnel of all activity pillars across UBP UK.
• Make recommendations for organisational and internal controls improvements of UBP UK.
• Prepare Audit reports, and summaries of findings and audit reports and recommendations to the Group Audit department, as well as key management stakeholders of UBP UK.
• Follow-up of Audit Recommendations until their implementation.
• Make recommendations for improving the efficiency and effectiveness of the audit process.
• Managing and engaging with various stakeholders across all departments of UBP UK at a senior level.
• Liaise with external auditors and regulators. The job description is not exhaustive and may include other duties as assigned from time to time by management. Management and Supervision
• Current line management responsibility for one Internal Audit Manager.
• Set goals and objectives for all staff under direct supervision, complete performance appraisals and arrange appraisal interviews and ensure that the UBP UK guidelines are appropriately updated and communicated to staff. Statements of Responsibility Prescribed Responsibilities and Local Responsibilities for the Head of Internal Audit are set out in the Statements of Responsibility which is maintained as a separate document. Conduct Rules This role is required to comply with the Financial Conduct Authority’s (FCA) Individual Conduct Rules, which are:
• To act with integrity;
• To act with due skill, care and diligence;
• To be open and cooperative with the FCA, the Prudential Regulation Authoritity (PRA) and other regulators;
• To pay due regard to the interests of customers and treat them fairly;
• To observe proper standards of market conduct; and
• To act to deliver good outcomes for retail customers. In addition, this role must also comply with the Senior Manager Conduct Rules, which are:
• To take reasonable steps to ensure that the business of the firm for which you are responsible is controlled effectively.
• To take reasonable steps to ensure that the business of the firm for which you are responsible complies with the relevant requirements and standards of the regulatory system.
• To take reasonable steps to ensure that any delegation of your responsibilities is to an appropriate person and that you oversee the discharge of the delegated responsibility effectively.
• To disclose appropriately any information of which the FCA or PRA would reasonably expect notice. Person Specification Knowledge, Skills & Experience Qualifications
• Qualifications: Professional Audit/Accounting qualification or Degree is preferred (ACA, ACCA, CIA, etc.)
• Good knowledge of accounting principles and professional audit standards.
• Solid experience at a Head of Internal Audit or Senior Audit Manager level with an audit firm or a financial institution.
• Working experience in both wealth management (essential) and asset management industries (preferred).
• Experience managing audits across a broad range of activities, including financial, compliance, regulatory, operational, systems, etc.
• Able to influence senior stakeholders whilst maintaining objectivity and independence
• Written skills for preparing and delivering quality audit reports, as well as strong relationship building and communication skills to ensure the best outcome.
• Knowledge of UK banking legislation, regulations and rules (PRA/FCA)
• Excellent communicator and able to build relationships with internal and external stakeholders including regulators
• Ability to influence senior stakeholders
• Strong analytical and problem-solving skills with the ability to assess complex situations and make sound decisions.
• Demonstrated experience in developing and implementing compliance policies, and procedures.
• On-going CPD (Continuous Professional Development) to ensure that adequate knowledge of the UK regulatory environment is maintained.
• Suitably qualified to hold SMF 5. Competencies and Values Required Level Shows the drive to perform and be successful 5 Persistent in following-up and through on issues 5 Upholds the legal, regulatory and ethical standard of the UBP Group 5 Good product knowledge 4 Knowledge of legal regulatory and industry requirements 5 Business Development 3 Communication - listening, written and verbal with clients 5 Influencing 5 Relationship Building - internal and external 5 Strategic & commercial awareness 4 Planning & organising 4 Ethics and values 5 Customer focus 5 Explanation: 1: low level of competence / skill required, 2-3: average level of competence / skill required, 4-5: high level of competence skill required