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Job Code

1457351

Internal Audit Role

caution
8 - 15 Years.Mumbai
Posted 4 months ago
Posted 4 months ago

The candidate will be part of the Internal Audit of Asia - Global Markets Audit which is dedicated regional audit team that covers global markets audit activities in the Asia-Pacific region.

Job Responsibilities:

Provide support to the Regional Director of Global Markets Audit, AIAO-GMA:

- Support Audit Manager in the Global Markets audit activities in the region (including audits, ongoing monitoring, issues validation and risk assessment).

- Undertake the role of Auditor-In-Charge with respect to the execution of the annual audit plan and the annual risk assessment process.

- Execute and complete internal audit assignments with respect to all stages of the Audit Cycle (planning, testing and reporting). Complete work on a timely basis and with high quality.

- If not assuming AIC role, lead and conduct interviews with process/control owners to develop understanding of business processes, controls and client's business.

- Evaluate internal controls design and operating effectiveness.

- Document results using appropriate business and technical language in workpaper system in a timely manner.

- Assign and review the work of audit team members for assigned engagements in coordination with Audit Manager.

- Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.

- Responsible for the closure of Internal Audit Report's Management Action Plans through the follow-up with the auditees and the independent validation of the supporting evidence.

- Keep abreast of business developments, business changes and new regulations and assess their impact on the control environment and the audit plan.

- Build relationships with peers and stakeholders within the organization and effectively manage stakeholder relationships to a mutually accountable, productive, respectful, and trusted level. Act as a leader and role model and continuously improve self and department.

- Participate in data analytics audit work to identify patterns and derive insights on the underlying risk of the auditable entities to drive audit plans and facilitate audit testing.

- Coordinate any reporting and ad-hoc activities within the GMA team when required.

Job Requirements:

- Bachelor's degree (or above). Professional Qualification (e.g., CPA / CA / CIA / CISA / CFA).

- 8 or more years of Internal Audit experience gained as In-House Internal Auditor with Investment Banks / Securities Firms / Financial Services Industry. Candidates from Big 4 Accounting Firms with relevant experience will be considered.

- Experience in conducting internal audits assignments on Global Markets (Equity, Fixed Income, FX and Structured Products) is preferred.

- Good understanding of "Risk-Based" internal audit methodology (audit execution and risk assessment) and industry practices.

- Good analytical and problem-solving skills

- Good verbal and written communication skills

- Pro-active, confident, and strong sense of accountability

- Compliant with company Code of Conduct, exhibits strong ethical behavior, and adheres to relevant professional requirements

- Excellent Microsoft Office skills

- Regional travel may be required

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