Senior Manager, Branches and Support Services Audit

Hong Kong
Competitive salary
12 Jan 2021
21 Jan 2021
Job role
Experience level
  • Assist the Head of Branches & Support Services Audit to prepare the audit plan and monitor the progress/achievement of the audit plan.
  • Assist the Head of Branches & Support Services Audit to develop and maintain:
  • Audit methodology and procedures to provide independent assessment of the control processes in the following business/support units:

~ Retail and Branch Banking Activities – Branches, Wealth Management Department, Branch Operation and Planning Department, Asset & Liabilities Department, Segment, Marketing & Digital Department, Commercial Banking Cash Department, Sales & Distribution Department, Strategy, Alliance & Analytics Department, and Insurance Department

~ Operations – General Affairs Department and Central Control Department

~ Support Services – Human Resources Division, Compliance Division, Legal Division, Brand and Communications Department, and Company Secretariate Office
  • Knowledge of leading practices and activities relevant to assigned audit portfolio
  • Continuous auditing in various risk areas by leveraging data analytics tools
  • Lead/Participate in the audit process and procedures to provide independent assessment of retail/branch banking business and selected business/support units, and evaluate the governance framework, risk management, regulatory compliance processes and internal controls systems.
  • Lead in the handling of special assignments (e.g. investigations and other ad hoc/special projects).
  • Work in conjunction with business and support units to:

~ Keep abreast of emerging risks/concerns;

~ Maintain a good working relationship to enforce the role of IAD as an independent partner to build trust and transparency;

~ Monitor changes in risk management and/or all major new developments; and

~ Monitor the implementation and progress of audit recommendations.
  • Work with the Head of Branches & Support Services Audit and other internal auditors to achieve the most efficient and most effective working practices for IAD.
  • Build and develop a team of internal auditors to manage and execute audit engagements and act as Subject Matter Experts on IT application controls to identify critical issues and improvement opportunities.
  • Establish and implement career management as well as development plans
  • Assist Head of Branches & Support Services in the engagement with key stakeholders, which include line/senior management, external auditors and regulators.
  • Make use of data analytics skill to improve the audit efficiency for audit engagements.

  • Bachelor Degree with CISA, CISSP or equivalent professional qualification (CIA and CPA preferred)
  • Minimum 15 years of experience in auditing or other risk control functions, preferably in financial industry
  • Sound knowledge of branches, AML/CFT and selling activities with ECF (AML-Core) qualifications preferred
  • Sound knowledge of IT application controls in various banking systems
  • Sound knowledge of control requirements of banking industry and external applicable rules and regulations
  • Strong data analytical skill, knowledge of ACL, python, PowerBI/Qlikview or other data analytics tool is preferred
  • Good command of English (Oral & Written)
  • Strong leadership, analytical, organizational, communication and report writing skills
  • Dynamic and good interpersonal skill
  • Ability to interact well with senior management, external stakeholders and regulators
  • A high level of integrity, drive and the ability to work under pressure
  • Multi-tasking and strong time management skill
  • Willing to travel for audit assignment

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