
Risk Management Professional
2 hours ago
Job Title:
Asset Management Auditor
Job Summary:
This role will be responsible for conducting internal audit activities that assess risks and controls in wealth management business.
The ideal candidate will have a proven record of audit execution in accordance with IIA standards and good familiarity and hands-on experience with key regulations.
- Perform audit work assigned according to the standards of Internal Audit's risk-based methodology.
- Design effective tests of key controls or processes to assess risks, validate the adequacy of design and operating effectiveness of key controls.
- Design and execute substantive testing, including data analysis.
- Perform and document audit work and conclude on the audit tests results.
- Identify, assess and report on all key risks and compliance issues/breaches in the audited area.
- Review and test management actions taken by Business to remediate issues and deficiencies.
- Draft clear, concise and well-supported audit findings in working papers.
- Work with the audit team and internal management to communicate issues or delays that may arise throughout the audit.
- Perform validation of management actions and documentation of action closure, including follow up with action owners when needed.
- Develop a thorough understanding of audits and assigned functions, including technology, products, organizational activities and systems.
- Execute special or ad-hoc projects as requested.
Key Contacts and Working Relationships:
- Establish and maintain relationships with key stakeholders within the organization.
- Liaise with Front Office, Middle Office, Compliance, Risk and Support Functions to ensure clear understanding of the audit scope, issues raised, and action point required to address the findings.
- Internal Audit Lead, Director, Head of Internal Audit for EMEA/APAC, Global Head of Internal Audit as needed.
Requirements:
- Approximately 5 years of experience in asset management/financial services including experience in performing operational, regulatory, compliance, financial audits.
- Familiarity of relevant regulatory framework and requirements.
- Strong analytical and project management skills, ability to prioritise and multi-tasked when needed.
- Effective communication skills (verbal and written) and interpersonal skills as well as interest in developing to succeeding roles in IA.
- Motivated with proven ability to research, interpret and apply regulatory requirements.
- Ability to build strong working relationships with peers, staff and relevant stakeholders.
- Self-motivated and able to work independently and as part of a team.
- Strong familiarity with MS Office.
Education/Experience Requirements:
- Bachelor's degree in accounting, finance or any business-related area preferred.
- CIA, CPA, ACA, CA, ACCA, CFA or other similar certification preferred.
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