Associate Auditor (APAC CIB Compliance)

Job Description

The Associate role is for an experienced Audit professional to join the Audit Team based in Mumbai as part of the APAC CIB audit team with matrix reporting to Banking and Compliance audit lead in Mumbai and CIB Compliance lead in Hongkong. The individual will participate, partner with teams to execute audits of the CIB businesses across the APAC region and globally, with a particular focus on CIB Corporate Sectors (including CIB Compliance, CIB Finance, Treasury and Chief Investment Office & Credit and Rates) related matters. This will involve monitoring adherence to regulatory requirements, helping ensure appropriate audit coverage of CIB Corporate Sector within the APAC CIB business audits, participating in the planning and execution of CIB Corporate Sector audits, and maintaining effective relationships with key business stakeholders.Applicant must be a mature and experienced professional who possesses strong auditing skills, knowledge of key regulations and current regulatory developments relevant to CIB and a strong understanding of internal control systems within a financial institution. In this role, the individual will be exposed to audits across the wholesale lines of business in addition to other operational support functions as required. The applicant should be a strong team player and be good in multi-tasking, and able to work under pressure in a dynamic business environment Responsibilities.

• Assess the regulatory control environment of CIB businesses, with a view to providing recommendations to management for improvement where weaknesses are identified
• Execute audits efficiently, including risk assessment, audit planning, testing, control evaluation, report drafting and follow-up and verification of issue closure. Ensure audits are completed timely and within budget
• Work closely with regional/global CIB audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
• Identify risks and prioritize audit work as part of a risk based audit program in close partnership with the wider audit team
• Keep abreast of evolving regulatory changes and market events impacting the wholesale businesses and ensure appropriate audit coverage on CIB Corporate sector related matters.
• Communicate audit issues and results effectively in both verbal and written form, and be able to influence effectively
• Establish and manage strong working relationships with key stakeholders in the CIB Corporate Sector organizations
• Foster a business climate and culture that encourages integrity, respect, diversity, excellence and innovation

• Minimum Bachelors degree in Accounting, Finance or related discipline and/or other relevant professional qualifications, e.g. CA, CPA, CAMS
• At least 5 years audit or relevant compliance/regulatory experience, within a financial services organization, major accounting firm or regulatory body
• Knowledge of key regulations and industry issues & themes (e.g. anti-money laundering, surveillance, sanctions, conflicts of interest, information barriers, regulatory reforms).
• Good understanding of internal control concepts
• Ability to carry out complex tasks under time pressure
• Proven ability to build strong working relationship with key stakeholders
• Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
• Enthusiastic, self-motivated and willing to take personal responsibility/accountability
• Strong ability to multi-task and effective under pressure
• Ability to lead audits, manage projects and participate in audit assignments in a team environment
• Works well individually and in teams, shares information and supports colleagues
• Be flexible and adaptable to dynamically changing work environments, including some travel to other countries as part of regional audit engagements. Ability to travel within the Asia region (up to 20%)

Keyskills :
accounts auditing documentation ledger auditplanning riskassessment internalcontrol auditmanagement sensitiveissues management investmentbanking financialservices ep ting boardofdirect seni operational