Audit Manager - Compliance, Conduct and FCC
The Role Responsibilities
- To act as a Team Member on assigned audit work involving Compliance, Conduct, Regulatory Reform and Financial Crime Compliance (FCC) risk across the bank;
- To act as Audit Engagement Leader and take responsibility for overseeing the planning and execution of the audit, maintaining the audit budget, including drafting of audit issues and the audit report;
- To ensure that assigned audit work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards;
- To clearly explain the risks and impact of issues identified during testing to GIA and business management
- The individual may support in department wide exercises such as annual planning, risk assessment and training.
- To actively manage relationships with senior auditee management and stakeholders;
- To support GIA audit teams by providing product/country knowledge and expertise for their audits relating to the individual's area of expertise;
- Support the HOA and SAMs where required, in the development of the GIA risk assessment and development of an appropriate audit plan for the HOA's assigned portfolio;
- Propose audits for coverage during the audit cycle based on their knowledge of the business; and
- Carry out their role in line with the Audit Charter and remain independent from management and free from interference.
- Participate as team member or team leader for assigned audit work and potentially lead the more complex audits such as cross-functional and multi-location high risk audits;
- Ensure that audit deliverables meet quality standards and timelines in line with the GIA methodology;
- Draft and submit inputs to the audit scope (including the Audit Planning Memo and Controls document) proposed by the Audit Lead;
- Assist in the drafting of the audit report in the GIA report review process; and
- Track the implementation/delivery of the agreed issues and action plans for the audits assigned, understanding the key risks arising, provide advice on resolution of issues to auditees/action plan owners and escalate audit findings that remain unresolved.
- Support the HOA to update the relevant assigned risk assessments on a regular basis to ensure that changes in risk profiles are identified in a timely manner, proposing changes to the assigned audit plan to the HOA, as appropriate;
- Be prepared to raise issues/concerns outside the normal audit process;
- At the request of the HOA, attend relevant meetings (e.g. PSCs, Management Groups and Committees) to keep up-to-date on key business matters and provide the right challenge to ensure risks are appropriately identified, discussed and timely remediation plans are put in place; and
- Review MI and reports regularly to keep up-to-date with key trends within the business.
Our Ideal Candidate
- An experienced financial crime practitioner or auditor with a minimum of 5 years relevant experience in audit, governance, risk or in a business environment;
- In-depth understanding of financial crime risk management and associated control requirements;
- Strong communicator, both written and verbal, with ability to clearly explain controls to be tested and risks identified to audit and business management;
- CAMs qualified;
- Confident and courageous to raise and escalate ideas or concerns in a professional and timely manner;
- Proactive, self-directed and able to work with minimum supervision;
- Ability to work within a global team;
- Professional audit certification preferred; and
- Ability to commit to limited business travel.
Apply now to join the Bank for those with big career ambitions.