AVP Internal Auditor - Equities, Research. Global markets

Job Purpose:

• This role directs the timely delivery of high quality, value added assurance and audit reports for a portfolio of business activities.  
• The Senior Auditor will be based in Hong Kong and report to the Hong Kong IA Markets Senior Audit Manager. The role will primarily focus on the audit coverage for APAC Equities and Research business and support other Markets audits within the country
• The  Markets business activity takes place across 15 countries in Asia Pacific and follows a Hub and Country model; the regional Hubs are based in Hong Kong and Singapore. 

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 audits related to Equities and other Markets business in accordance with corporate methodologies and professional standards, including drafting 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:

BS/BA degree or equivalent combination of education/experience. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus

• Intermediate level experience 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
• Solid understanding of Global Markets products, especially those associated with the Equities business
• 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