This position is responsible for leading audit engagements from planning, fieldwork testing, and issuance of audit reports, tracking and validating audit findings, coordinating with Head Office and local audit service provider including external auditor.
- Reviews and approves auditor’s work papers covering all phases of an audit engagement
- Drafts audit report and recommends corrective actions to the auditees and Senior Management
- Discuss with auditees on the audit findings and corresponding management action plans
- Follows up on management action plans to ensure adequate remediation of audit issues
- Manages the monthly regulatory and audit issue validation projects for the team
- Reviews and approves regulatory and audit issue validation reports
- Verifies issue closures based on control design, operating effectiveness, and sustainability
- Facilitate and communicate requests between internal and external audit providers and departments/teams and routinely monitor the timeliness of material submission
- Provide audit status updates to executive management, and related authorities including regulators, specialized committees of the Branch
- Other tasks or projects assigned without and conflict of interests for such independent function.
Education and Experience Requirements:
- BS in Finance, Accounting, Business Administration, or other business oriented field (including Information Technology) is required.
- At least 10 years of related audit experience in financial services: including knowledge of regulatory rules and the programs used to comply with key risk management requirements
- Prior experience in risk management, operations, audit or management consulting, preferably in a financial institution environment
Skills and Knowledge:
- Knowledge and experience with aspects of internal audit or internal control practice
- Internal Audit experience related to financial industry is a must
- Independent worker, accountable and skilled in exercising sound judgment and decisiveness under pressure
- Strong interpersonal, team-working and organizational communication skills
- Excellent analytical skills, attention to detail
- Computer proficiency in Microsoft Office
- Professional certification such as CIA, CAMS, CPA or CISA strongly preferred
- Strong written and verbal communication skills are required