Corporate Functions Audit - Associate Corporate Functions Audit - Associate …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 18 Jul 19
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 18 Jul 19
Corporate Functions Audit - Associate
About J.P. Morgan Chase & Co:

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.
Department Description

JPMC's Audit Department reports to the Audit Committee of the Board of Directors and is further accountable to the Chairman and CEO, senior management and regulatory agencies. Audit is an independent risk assessment function established within the organization to evaluate, test and report on the adequacy and effectiveness of management's system of internal control.

The Corporate Sector Audit team provides audit coverage of key corporate functions including Compliance, Legal, Finance, Human Resources, Global Real Estate, and Global Security & Investigation. The team also works closely with each Line of Business (LOB) Audit team to ensure consistent coverage of these topics.

Position Description:

The Senior Auditor role, based in Hong Kong, will report to the Regional Corporate Sector Compliance Audit Manager and will be responsible for assisting with ongoing risk assessments, control identification, audit execution and continuous monitoring activities across the Corporate Function and LOB Compliance teams. Primary areas of audit coverage include Asia Compliance Market Surveillance, Personal Account Dealing, Anti-Bribery and Corruption, Data Privacy and Compliance Practices including regulatory change processes. Additionally, this roles offers opportunities to engage with the Global Corporate Functions and Asia LOB Audit teams to drive consistent coverage of compliance topics within the Asia LOB and Location audits, and build effective relationships with key business stakeholders.

Applicant must be a mature and experienced professional who possesses strong auditing skills, a robust understanding of internal control systems within a financial institution and knowledge of key financial regulations. Additionally, this individual should be a strong team player with the ability to multi-tasking and thrive in a dynamic business environment.


• Execute audits efficiently including planning, testing, control evaluation, report drafting and follow-up and verification of issue closure.
• Accountable for meeting deliverables, adhering to department and professional standards and utilizing consistent methodology.
• Communicate audit issues and results clearly and concisely in both verbal and written form, and effectively influence the reporting process.
• Keep abreast of evolving regulatory changes, market events and emerging risks in Asia impacting Compliance and the LOBs to drive appropriate ongoing audit coverage in close partnership with the wider Audit team.
• Establish and manage strong working relationships with key stakeholders in the Compliance organization.
• Foster a business climate and culture that encourages integrity, respect, diversity, excellence and innovation.


• Minimum Bachelor's degree in Accounting, Finance or related discipline and/or other relevant professional qualifications, e.g. CPA, CAMS.
• At least 5 years audit or relevant compliance/regulatory/finance experience, within a financial services organization, major accounting firm or regulatory body.
• Fluent Mandarin speaker is strongly preferred
• Ability to lead audits, manage projects and participate in audit assignments in a team environment.
• Knowledge of key regulations and industry issue themes (e.g. surveillance, conflicts of interest, information barriers, regulatory reforms & regulatory reporting).
• Proven ability to be able to multi-task, complete projects on time and on budget, and adjust to changing priorities.
• Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weaknesses.
• 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.
• Works well individually and in teams, shares information and supports colleagues.
• Flexible in a dynamic work environment, including some travel to other countries as part of regional audit engagements (up to 20%).