VP - Internal Auditor (Legal, Compliance and Controls)
Hong Kong SAR
- BBBH826086 Aug 23, 2022 Competitive
A globally renowned Investment bank is looking for an Internal Auditor at VP level to focus on Compliance audit for the region
The role of the VP is to support the Regional Portfolio Director based in Singapore who reports to the Regional Head of Internal Audit and the Global Portfolio Director based in the UK, in the definition, execution and management of the Regional Internal Audit efforts related to Compliance, Financial Crimes, Conduct and Culture and Legal (LCC). The LCC portfolio, oversees key control frameworks related to Market Abuse Surveillance, Conflicts Management, Compliance Advisory, AML/KYC, Sanctions, Anti-Bribery and Corruption (ABC), Conduct & Culture, and Legal, including the use of Master Agreements.
- Lead and execute internal audits for the Regional Wholesale Division, reporting to the Regional Portfolio Director for the LCC portfolio.
- Take primary responsibility for audit planning, fieldwork, reporting findings and agreeing action plans with auditees.
- Conduct continuous monitoring, maintaining relationships with key LCC stakeholders and evaluating any changes in the risk profile of the departments which might result in a change in the audit plan, risk assessments or audit universe. This includes deputizing the RPD at stakeholders' forums and committees as required.
- Follow-up and validating audit findings raised in audit reports and tracked by Internal Audit.
- Perform risk assessments, at least annually, using the departmental risk assessment methodology.
- Carry out special projects, ad hoc investigations and advisory work where required.
- Minimum Bachelor Degree and/or an audit related professional qualification (e.g. ACCA, or CIA)
- Minimum 12 years of experience (external audit, investment banking, compliance regulatory); of which 3 years of internal audit experience in the financial sector.
- Minimum 10 years background and experience of auditing Compliance (including but not limited to Market Abuse Surveillance, Conflicts Management), Financial Crimes, and Conduct and Culture, in the Investment Banking business of a major financial institution or experience in a Compliance function, as a second line of defence, or with a regulator of financial institutions, prior to joining internal audit
- Demonstrable knowledge of wholesale banking and broker dealer activities and related regulatory framework/regulations.
- Ability to forge strong relationships with senior management and auditees, and influence control initiatives
- Strong analytical skills with the ability to identify key risks and formulate audit plans, with sound judgement on the criticality and impact of issues raised
- Strong time and project management skills, consistently delivering to deadlines (budget and time)
- Compliance certifications such as CISI or regional equivalent
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