Responsibilities
- Provide independent audit assurance to the Board and Executive Management on adequacy and effectiveness of Business Units (BUs) and Supporting Units' (SUs) internal controls, risk management procedures,ernance processes and quality of execution covered by Global Financial Markets (GFM) audit portfolio.
- Cover the audit portfolio of GFM, include Trading, Sales, Debt Capital Markets (DCM), Equity Capital Markets (ECM), Liquidity Management and their key risk areas.
- Plan, manage and execute audit projects properly in accordance with departmental and professional standards. Manage assignments effectively and efficiently, including reviewing the audit planning, risk matrices, and testing strategy.
- Identify and escalate all major risk, control and regulatory issues arising during the audits and present the audit findings / reports on a timely basis. Assist IA Management tomunicate and deliver timely, concise and insightful control issues to senior management and the Auditmittee and manage relationship with regulators and external auditors.
- Manage team resources in overseeing the portfolio and delivering the audit plan. Properly supervise team members during audit engagements and provide audit team members with proper guidance and coaching supervision during audit engagements.
- Manage key relationships with management for the GFM portfolio.
- Develop and execute the Annual Audit Plan (AAP) for GFM audit portfolio.
Requirements
Degree qualification, with minimum 10 years of work experience, preferably in the internal audit or control functions ofmercial banks, investment banks or security firms.Woking experience in middle / back office or 2nd line of defense of GFM business, and / or internal audit experience in auditing GFM business are preferred.Solid knowledge of GFM business (such as trading, sales, DCM / ECM, security dealing, etc.) in terms of product, process, operations, risk control and key regulatory requirement from HKMA and SFC.Strong date-driven mindset in planning and conducting audits.Strong influencing, negotiating and problem resolution skills.Ability to work effectively with multiple tasks.Self-motivated, takes initiatives and demonstrate the ability to work independently as well as collaborate with others as one team.Solid writing, presentation andmunication skills in English and Cantonese. Mandarin is an advantage.Apply Now
We offer apetitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.
We regret only shortlisted candidates will be notified.
Job ID WD74748