Assistant Manager/Manager - Audit - CA - Investment Banking Firm

Opportunity is with one of the leading Investment banking firm.

- CA, CIA, CISA is a mandate (no other qualification)

- Experience in external auditing / internal auditing / credit / risk / compliance / internal control / operations in the financial services industry.

Base Location: Chennai

Work locations: Hong Kong/Singapore/ China/India/Malaysia/ Australia/Japan etc (involves extensive travelling)

Roles & responsibilities:

- To conduct audit work in accordance with the IG methodology and ensure high standard of deliverables

- To contribute to risk assessment of audit units based on knowledge obtained through assignments as well as day-to-day contact with auditees

- To follow through with auditee on implementation of recommendations

Responsibilities

Direct Responsibilities

1. Participate in the audit team assignments and special reviews (when required by regulators, business lines, or senior management)

Head of Assignment

- Lead the assignment / review in accordance with Internal Audit Guidelines, International Professional Practices and established internal communication protocol.

- Plan, oversee and co-ordinate the work performed to ensure optimal resource allocation and efficient completion of assignment by preparing the methodology, collating raw data, obtaining past recommendations, preparing meetings with auditees, etc.

- Assess the key risks of the audited areas and coordinate the team to identify weaknesses in governance, risk management and control in those areas and raise appropriate findings and recommendations.

- Review work done by audit team to ensure that the work scope objectives are achieved.

- Complete the audit report within the recommended timeline.

- Escalate to the Supervisor unresolved matters or disputes with the auditees for timely resolution.

Auditor of Assignment

- Assist in documentation gathering for the assignment.

- Assist in assessing the key risks of the audited areas and identify weaknesses in governance, risk management and control in those areas by carrying out appropriate evaluation and tests.

- Raise appropriate findings and provide appropriate value-added recommendations to mitigate identified risks.

- Complete and file investigation working papers for easy retrieval to substantiate work performed.

2. Review the implementation of the Inspection G- n- rale recommendations

- Validate the implementation of recommendations and maintain audit trail of correspondences with auditees in respect of all implementation.

3. Contribute to the periodic risk assessment of covered activities and planning

- Perform a periodic and comprehensive risk assessment of the covered activities as per the Group guidelines.

- Keep abreast of change/new development of regulatory requirements that are relevant to the covered activities and related functions.

- Assist in the elaboration of the audit planning following a risk-based approach.

Contributing Responsibilities

- Contribute to the improvement of the Inspection G- n- rale practices through the elaboration and update of our methodologies.

Technical and Behavioral Competencies required

- Is conversant with and applies appropriately audit methodology/standards and control concepts

- Possesses knowledge of business, products, risks, practices, policies and regulations

- Practically adapts theory and experience to circumstances of assignment

- Demonstrates planning, organizing and communication / interpersonal skills in conducting assignments and dealing with auditees

- Be analytical and able to anticipate problems/obstacles, able to distinguish material from non-material items in making decisions

- Is mindful about deadlines and disciplined in completing deliverables at the required level of standard

- Team Work spirit

- Good written and oral communication skills in English