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Vice President, Compliance-Internal Audit

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Discipline:
Reference: VPCIA/NR280323
Posted: about 1 year ago

Job description

DUTIES OF THE POSITION:

  • Establish and maintain effective stakeholder relationship with management, regulator(s) and external auditor(s) to sustain a good understanding and sharing of information on business and operation risks in the banking industry.

  • Maintain close partnership with management teams to ensure good comprehension of their business strategies, plans, products, performance and risk-related issues.

  • Conduct functional risk and control assessment to assist Head of Internal Audit in compiling risk-based Annual Audit Planning.

  • Lead and manage audit assignments on business operations, corporate governance and regulatory compliance of the delegated audit portfolios.

  • Perform audit planning and research to ensure adequate and effective audit scope / coverage.

  • Identify and escalate key control issues with root causes and provide value-added recommendations for control improvement.

  • Compile audit reports to highlight key risk and control issues and major areas for improvement.

  • Ensure completion of audit assignments, update of audit programs and related materials in accordance with the audit standards of the Bank.

  • Monitor and follow up outstanding and overdue audit issues to ensure full resolution.

  • Conduct and supervise special reviews / investigations assigned by Head of Internal Audit / requested by senior management and the Audit Committee.

  • Review management committee papers, risk assessment documents and operational loss / incident reports to identify and analyze trends, patterns, root causes and impacts of existing and potential risks for effective audits and on-going governance reviews.

  • Provide risk management advisory services to business and operation management on new major products / services / special projects.

  • Provide leadership, technical guidance and performance feedback to team members.

  • Coach and share knowledge, skills and experience with audit team members to ensure continuous upgrade of competence and quality of the audit function.

  • Deputize for Head of Internal Audit during his / her absence.

 

REQUIREMENTS

Academic Qualification:

  • University graduate or above (in Accountancy, Business administration or related disciplines)

 

Competency Requirements:

  • Substantial knowledge of respective responsible areas / functions

  • Professional designation of CPA, CIA, FRM and/or CISA or equivalent.

  • At least 12 years solid auditing experience in financial services industry.

  • Solid product knowledge in the banking industry with good business sense.

  • Well versed in supervisory control requirements and regulatory compliance rules and regulations.

  • Strong risk and control assessment and analytical skills.

  • Able to work independently and deal with different levels of management.

  • Good supervisory and coaching skills in managing and developing audit staff.

  • Strong collaborative and interpersonal skills for building and maintaining effective working Relationship with counterparts in Internal Audit and the business.

  • Ability to think outside the box and exercise good judgment when analyzing risk issues and developing and recommending solutions.

  • Effective written and oral communication skills in English and Chinese (Mandarin).

 

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hkWeb: www.charterhouse.com.hk

 

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