Wealth Management Auditor/Manager

CaixaBank is a socially responsible financial group with a long-term vision, based on quality, proximity, and specialization. It offers a value proposition of products and services tailored to each segment, assuming innovation as a strategic challenge and a differentiating trait of its culture. Its leading position in retail banking in Spain and Portugal allows it to play a key role in contributing to sustainable economic growth.

Independently and objectively evaluate the effectiveness of internal control, governance, and risk management frameworks in the Wealth Management scope, participating in the planning and execution of national and international audits, identifying opportunities for improvement, performing follow-up on corrective actions, and providing assurance on regulatory compliance, the protection of client interests, and business sustainability.

The mission of the Wealth Management Audit Directorate is to objectively and expertly evaluate the effectiveness of the control environment, governance, and risk management of the Wealth Management businesses provided from the Wealth Management scope, where advisory and portfolio management services are provided to high-net-worth clients, in an international context that is sophisticated from an investment product design perspective, supporting decision-making and the responsible growth of the business, in line with applicable external regulations regulated, primarily, by the National Securities Market Commission, Group standards, and industry best practices.

The team develops audits on key business processes, support functions, and control frameworks, working transversally with different areas of the Group and with frequent interaction with other control functions, as well as with international teams.

Among the main areas of action, the following stand out:

• Audit of Wealth Management business processes related to investment strategy, independent and non-independent advisory models regarding investments, family office services, wealth advisory, Real Estate services, product design and marketing, client portfolio construction, sustainability, etc.
• International audits of wealth management services provided from other jurisdictions, with a transversal and international vision of the business.
• Audit of Wealth Management Business Centers distributed throughout the Spanish geography.
• Design, maintenance, and monitoring of business indicators oriented toward monitoring the activity of the Business Centers and the evolution of the business as a whole, in coordination with the Business Control area.

Among the main functions of the position, the following stand out:

• Actively participate in the planning, execution, and closing of internal audits, especially those focused on the international scope.
• Evaluate the adequacy and effectiveness of the internal control framework, governance, and operating processes in the audited areas.
• Analyze the degree of compliance with internal regulations, corporate policies, and standards defined by the Group.
• Identify risks, control weaknesses, and opportunities for improvement, formulating value-added recommendations oriented toward strengthening processes.
• Prepare clear, structured audit reports with an executive focus, appropriately communicating conclusions and key messages.
• Perform follow-up on action plans derived from audits and verify their correct implementation.
• Collaborate on transversal audit projects and, when appropriate, on coordinated work with other Audit Directorates of the Group.
• Interact with business stakeholders and corporate functions, developing a professional relationship based on technical rigor and credibility.

• Higher university degree, preferably in Economics, Business Administration and Management, Engineering, Law, or similar.
• High level of English, both oral and written, with the ability to operate fluently in demanding professional environments.
• Advanced handling of data analysis tools, including the use of artificial intelligence techniques and performing queries for information exploitation and analysis.
• Proficiency in IT tools, particularly Word, Excel, PowerPoint, as well as Access and SAS at an advanced level.
• Proactive leadership capacity, autonomy, and results orientation, with initiative to drive work, anticipate risks, and propose improvements constructively.
• High analytical and synthesis capacity, with professional judgment to identify relevant risks and prioritize conclusions.
• Good communication skills, both written and oral, and the ability to interact with different levels of the organization.

• Minimum professional experience of 6-7 years, preferably in internal audit, external audit, and/or consulting,
• Previous international experience and/or participation in projects with international teams, subsidiaries, or counterparts.
• Experience in control positions (audit, risk, compliance) or in Wealth Management business areas, private banking, or wealth management.
• Ability to operate in contexts of change, transformation, or business growth.
• Professional certifications in auditing or any field related to the banking and financial environment.
• Specific prior knowledge of MiFID or the securities market regulatory framework, nor deep prior knowledge of the Wealth Management business, is not necessary, as professional experience, technical foundation, and learning capacity will be primarily valued.

S.2.2 HUMANISM - LEADERSHIP AND TEAM DEVELOPMENT / SELF-LEADERSHIP