Auditor covering compliance for the Asia regional compliance and KAMLS Center of Excellence (CoE) team. The role will contribute to the scoping and execution of risk based audits covering applicable local and US regulations audit coverage will be executed in accordance with established IA methodology and professional auditing standards The position will be based in Hong Kong.
Key responsibilities:
- As a seasoned professional, applies solid understanding of internal audit standards, policies, and local regulations to provide timely audit assurance
- Contributes to the development of audit processes improvements
- Applies solid understanding of how internal audit collectively integrates with line management and control functions to accomplish the objectives of the function and overall business
- Performs moderately complex audits related to consumer or investment banking, technology management; project/program management; or supplier management in accordance with corporate methodologies and professional standards, including drafting of audit reports, presenting issues to the business and discussing practical solutions
- Completes assigned audits within budgeted timeframes, and budgeted costs
- Provides coaching to team members in all phases of the audit process
- Monitors the risk environment and assesses the emerging risks through the business monitoring process
- Recommends appropriate and pragmatic solutions to risk and control issues
- Applies knowledge of key regulations to influence audit scope
- Develops effective line management relationships to ensure strong understanding of the business
- Pro-actively develops automated routines to help focus audit testing
Qualifications and competencies:
- BS/BA degree or equivalent combination of education/experience
- Intermediate level experience (4-7 years) in a related role with experience in business, functional and people management, with proven abilities in taking responsibility for issuing to stakeholders high quality deliverables according to strict timetables
- The candidate should have a functional knowledge of local regulations, KYC, AML, and sanctions and regulatory requirements governing banking services, policies and procedures, provisions and guidelines established by the local regulator and other related agencies as related to prohibited activities, money laundering and financing of terrorism, and all applicable regulations governing reporting of potentially suspicious transactions
- The candidate must have working knowledge of regulatory requirements and the related risks and controls and demonstrate the ability to work with senior management and participate and lead audit execution
- Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
- Strong interpersonal skills for interfacing with all levels of internal and external audit and management
