DFSA and FSRA regulated firms — asset managers, fund administrators, broker-dealers, payment service providers and other licensed entities — operate under governance and internal audit obligations that differ significantly from those of non-regulated businesses.
Generic internal audit approaches miss the regulatory dimension entirely. ECOVIS JRB's internal audit and governance work is designed specifically around DFSA and FSRA requirements — giving boards and senior management assurance that is genuinely useful, and that will stand up to regulatory scrutiny.
We work across ADGM and DIFC with asset managers, investment advisors, family offices, fund administrators and fintech firms — at all stages from newly authorised to established operations preparing for regulatory inspection.
Discuss Your Requirements →Four service areas covering the full governance and internal audit needs of ADGM and DIFC regulated firms.
A risk-based annual internal audit programme designed around your firm's specific regulatory obligations, risk profile and operational activities — conducted independently and reported to board or audit committee.
Independent assessment of your firm's governance arrangements against DFSA and FSRA requirements — covering board oversight, risk appetite, management structure and the effectiveness of your control environment.
Targeted testing of key controls across your compliance, finance and operational functions — identifying weaknesses before your regulator does, with clear and practical remediation guidance.
A structured independent review of your firm's readiness ahead of a DFSA or FSRA supervisory visit — identifying gaps and providing actionable remediation recommendations before the inspection begins.
We understand DFSA and FSRA governance requirements in depth — not as a side capability but as a core practice area. Our internal audit work is designed to satisfy regulatory expectations, not just tick a box.
We are entirely independent of your compliance, legal and management functions. Our findings and opinions are objective — giving your board and audit committee genuine assurance rather than a managed result.
Our internal audit work is led by experienced practitioners who have worked in regulated financial services firms — not generalist auditors applying a checklist to a financial services context they don't fully understand.
Internal audit for a 10-person asset manager looks different from internal audit for a 100-person broker-dealer. We design programmes proportionate to your size, complexity and risk profile — not one-size-fits-all.
Our internal audit team works alongside our outsourced compliance and MLRO teams — giving you a fully integrated assurance picture across both first and third lines of defence.
Every internal audit report includes clear, prioritised findings, management responses and a practical remediation roadmap — not a list of observations with no clear path forward.
Talk to our internal audit team — free 30-minute consultation, no obligation.