Internal Audit Director, Japan and Asia Pacific

JobDescription :
The Role: Internal Audit Director, Japan and Asia Pacific

The Location: Hong Kong

The Impact: This role will be primarily accountable for providing audit leadership and the execution of S&P Global for businesses based in SPGI and support any global reviews. This role will be responsible for performing annual and ongoing risk assessment activities focused on regulatory, compliance, and operational areas and the associated risks for the SPGI businesses operating in Asia Pacific. This role directs the timely delivery of high quality, value added assurance and audit reports for a portfolio of business activities to assess and evaluate the adequacy and effectiveness of the control environment, and compliance with applicable policies, procedures, laws and regulations in a manner that will assist S&P Global in the achievement of its strategic goals and objectives. This role will also provide resource support for audit assurance projects performed in the Asia Pacific region and globally where Internal Audit staff is located. This position will be based in Hong Kong.

What's in it for you: The incumbent will be expected to oversee independent and objective assurance projects, collaborate with business and risk partners and work effectively with members of the Audit Leadership team. The successful candidate will be a key member of the Audit Leadership team working in a global team environment and will interact regularly with Management and regulators.

Responsibilities:

• Develop, implement, and execute on the annual audit plan for the related businesses including coverage for operational, regulatory & compliance and financial areas based on an assessment of SPGI goals and objectives and the significant risks that threaten the achievement of those objectives
  • Oversee the creation and maintenance of an appropriately structured audit universe for the Asia Pacific based businesses/activities, and corresponding audit plan liaising with key members of Management in the business as well as other regulatory & compliance functions within the Company and other SPGI internal audit leaders, ensuring 100% of the Asia Pacific based organization is captured and organized in a way to maximize efficiency of audit coverage
  • Ensure implementation of IA-wide processes, procedures, policies, and initiatives within the Asia Pacific based audit function
  • Manage and assure completion of the Asia Pacific based annual audit plan through effective supervision and time/budget management, measures progress, and proposes revisions to reflect changing priorities
  • Develop a strategy for the efficient and effective completion of projects via a well-defined scope and fieldwork approach
  • Finalize audit reports and present and/or oversee the presentation of observations, recommendations, and management action plans to senior management
  • Provide fair and balanced insights into current, emerging and potential issues, trends, and opportunities that will enhance the efficiency and effectiveness of management and control processes
    
• Build strong relationships with key stakeholders, Senior Management, and other key leaders. Serve as a trusted advisor
  • Regularly meet with key business leaders including in risk management, legal, regulatory & compliance functions as well as operations and finance to stay informed of organizational changes; regulatory impacts; key, changing and/or emerging risks; etc
  • Represent Internal Audit in regional board meetings with key stakeholders
  • Demonstrate strong judgment, political astuteness, and sensitivity to cultural diversity
  • Develop and nurture relationships with key business leaders, demonstrating a solid understanding of the industry and related regulatory/compliance issues
  • Engage in Management requested and/or consulting projects and provide advisory services to Management
  • Partner with key business leaders to develop viable action plans to establish and enhance internal control environment
  • Provide periodic and/or requested reporting to key business leaders regarding audit plan, schedule, and status
  • Anticipate and proactively address business (strategic, operational, financial) and regulatory issues/concerns
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
    
• Ensure the Audit function for the Asia Pacific region is staffed with highly-qualified individuals and operates as a high-performing team. Provide performance feedback and coaching to direct reports and others. Uphold high standards for performance ratings and alignment with compensation. Provide opportunities for individual development and advancement
  • Lead a team that is knowledgeable about our business, understanding the industry and seen as highly credible with clients and industry/professional peers, using their skills to add value to the organization
  • Prepare and deliver performance evaluations of staff auditors
  • Counsel and guide associates to ensure approved audit objectives are met
  • Provide mentoring in regard to associate development plans and advancement/skill-enhancement opportunities
  • Set clear, well defined, desired outcomes for work activities and track progress, in the process motivating others using a variety of approaches, all in support of S&P Global and Internal Audit's visions
  • Perform regular analysis of department staffing and monitors succession management, as necessary
  • Screen candidates for employment based on department/channel needs
  • Provide solid leadership that exemplifies the company core values and leadership expectations

What we're looking for:

• 10+ years audit experience at a large multi-national bank/broker dealer or similar regulated financial institution
• Bachelor's degree in Business, Finance or Accounting or equivalent experience; Master's degree in Business, Finance or Accounting a plus
• Public accounting, consulting or other financial industry in a regulated business environment experience required; experience working directly with regulators is essential
• CPA, CIA or other relevant local certification
• Must be able to communicate effectively (orally and written) with professionalism and possess strong presentation skills among all levels of management. Can balance diplomacy with assertiveness and hold difficult or sensitive discussions with confidence, while gaining and/or maintaining the trust of others. Is articulate and composed when delivering difficult messages to clients.
• Excellent report writing skills a must; proficient computer and spreadsheet skills
• Excellent leadership skills and ability to manage people in a way that inspires, develops, and delivers results; demonstrated track record of integrity, innovation, and excellence.
• Proven ability to lead projects and initiatives that drive performance.
• Capability to think both strategically and tactically about the IA organization, its mission, and resources.
• High level of technical and analytical capabilities, skilled at decision-making under uncertainty, combined with a common sense approach.
• Strong work ethic, initiative, teamwork and flexibility to assist IA department in meeting organizational goals.
• Excellent risk identification, assessment and root cause analysis skills
• Strong project management skills
• Could require 25-30% travel within Asia Pacific, and other locations where the company is located.
• Must have a good understanding of the local market (HKG and China)
• Fluent in Mandarin, Cantonese and English

S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, gender, pregnancy, gender identity or expression, color, creed, religion, national origin, age, disability, marital status (including domestic partnerships and civil unions), sexual orientation, military veteran status, unemployment status, or other legally protected categories, subject to applicable law.