Senior Audit Manager / Audit Manager (Compliance) - Banking Audit

Senior Audit Manager / Audit Manager (Compliance) - Banking Audit (Job ID 4198) Responsibilities

• Be a team member of Banking Audit Department
• Develop and implement comprehensive audit plans for compliance and AML/CFT audits, to assess the adequacy of internal controls
• Assist in preparing and present audit findings to auditees and stakeholders and ensuring that recommendations and appropriate controls are implemented
• Maintain and enhance rapport and communications with auditees to gain their confidence, respect and cooperation
• Assist the supervisor in establishing and implementing annual audit plan, ensuring the internal audit function complies with sound internal auditing principles
• Assist the supervisor in ensuring that necessary resources are available in preparing audit plan
• Prepare audit notification letter, programme, working paper and draft internal audit report
• Perform effective audit field works, including walkthrough and substantive testing, to provide solid audit assurance and audit conclusion
• Assist the supervisor in coaching subordinates and review their audit works
• Perform follow-up review and issue verification to ensure the effectiveness and timeliness of remedial actions taken to address the audit findings raised by regulators, internal and external auditors.
• Engage in investigations, ad hoc assignments or special project if necessary

Requirements

• University graduate in relevant discipline, such as Accounting / Finance or other business-related discipline, with relevant professional qualifications, such as CPA / ACCA / FRM / CAMS, will be a plus.
• At least 4 years’ relevant experience in banking / financial services with strong technical knowledge on compliance and AML/CFT, and specific job title (Senior Audit Manager / Audit Manager) will be determined based on the candidate’s experience
• Sound knowledge of internal auditing, along with experience in applying data analytics, will be a plus
• Being Independent, self-motivated, and detail-oriented, with the ability to apply effective project management skills and good coaching skills
• A team player with good communication skills and risk awareness
• Good command of both spoken and written English and Chinese

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