Senior Manager, Branches and Support Services Audit
- Recruiter
- OCBC Wing Hang Bank Limited
- Location
- Hong Kong
- Salary
- Competitive salary
- Posted
- 12 Jan 2021
- Closes
- 21 Jan 2021
- Ref
- 9767478
- Job role
- Audit
- Experience level
- Manager
Responsibilities
~ 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
~ 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.
Requirements
- 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.
Requirements
- 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