Senior APAC Regulatory Compliance Audit Manager
- Hong Kong Hong Kong Hong Kong HK
- Permanent, Full time
- Eames Consulting Hong Kong , EA Licence No: 16S8091
- 23 Apr 18 2018-04-23
Newly created regional team. Leading financial services organisation are currently seeking a high caliber professional to join their Senior Regulatory Compliance Audit function.
This role has responsibility for Regulatory Compliance, Legal, Conduct and Culture. Regulatory Compliance includes both retail and wholesale businesses. Legal includes all categories of legal risk including Data Privacy.
Key responsibilities include -
- Conduct includes both retail and market conduct. In respect of Culture, the role involves assisting the audit function in assessing the risk culture of the organization including carrying out deep dive culture audits.
- Prepares individual audit plans to ensure that the scope, approach, resourcing and logistics of an audit are appropriately planned
- Obtains, analyses and syntheses information for reporting on the adequacy of the internal control environment
- Based on audit fieldwork, drafts audit findings which articulate key issues and risks and propose root causes
- Reviews and submits audit reports or conclusions for each audit conducted or supported
- Identifies business process improvements for segments audited as appropriate
- Ensure that the results of the work performed by the team meets the expectations of audit and business management and the regulators
- Maintain consistent interaction with business management
- Liaise with external auditors
Key requirements -
- Past working experience in a relevant regulatory compliance role, for example in a first line such as business or function, second line such as Regulatory Compliance, third line such as Internal Audit, as a regulator or external audit with exposure to regulatory compliance.
- Role relevant qualifications for example Accountancy, Audit or Compliance qualifications are desirable but not essential
- A track record of gaining an understanding of customers' needs and delivering excellent customer service
- Consistently achieved objectives set for them and taken action to improve their own performance
- Both spoken and written communication skills with experience of adapting your style and approach to the audience and message to be delivered
- Contributed productively to team objectives, sometimes supporting and sometimes leading activities to achieve shared goals
- Planned projects and activities systematically in line with business priorities, using a variety of analysis and problem solving techniques
- Proven experience of successful project management, utilising relevant tools and techniques to ensure consistent delivery
- Some travel will be required to be successful in this role