As a Senior Internal Compliance Auditor, you will be a part of the companies’s Global Compliance Monitoring team (GCM), tasked with ensuring that activity within the company is compliant with regulations and guidelines. You will be expected to be regulatory auditing subject matter expert (SME), with specific emphasis on the creation, monitoring, and timely delivery of audit reports and continued surveillance. You will be working with a team of analysts who are responsible for the preparation of audit reports, where you will exercise independent judgment and discretion handling highly sensitive casework.
In this role, you will execute assigned audit activities independently in accordance with the Department Standards ensuring the nature and extent of testing is appropriate to support the audit opinion. Evaluate the adequacy of system design and internal control framework in meeting business, operational and control objectives. Determine the efficiency, effectiveness, integrity and reliability of internal controls in relation to defined control requirements by conducting the audit of assigned processes/units/projects.
You will be tasked with ensuring that the company implements the appropriate monitoring and controls of customer and employee activity to ensure that the company is satisfying its obligations to the appropriate regulatory authorities bodies including, but not limited to the Financial Conduct Authority (FCA) and the Australian Securities and Investment Commission (ASIC), and incorporating successful leadership practices to ensure that your team successfully executes on these obligations accordingly. It will be critical for you to stay current with policy changes, seek ways to enhance current processes and controls, and communicate as much to your team in a complete and transparent manner at all times.
You will need the ability to understand opposing points of view within your team and across the organization on highly complex issues and to negotiate and integrate different viewpoints with all levels of GCM and Compliance leadership. You will be expected to interact with peers and Compliance professionals, all levels of management, and other internal or external constituents in order to deliver comprehensive views on investigative and intelligence matters and represent reasoning of case disposition on behalf of your team.
- Design audit strategy and performing audit testing on the company’s policies and procedures in relation to applicable regulations
- Recommending and following up with corrective actions
- Liaising with business lines, audit relationship managers, other internal stakeholders, and with the auditees themselves regarding material findings
- Documenting the findings as appropriate
- Support general audit activities across the organization and other duties, including special projects, as assigned
- Stay abreast of the regulatory environment and expectations
Contract type: Labor contract
- 2+ years of experience within regulatory compliance auditing of a global bank or financial services industry preferred.
- Exposure to compliance testing, quality control/assurance processes or internal/external audits
- General audit experience in a Big 4 or other top tier accounting firm an advantage
- Some knowledge of FCA sanctions compliance laws and regulations a plus
- Exposure to working with compliance testing scripts and/or experience with performing testing reviews or audit.
- Ability to evaluate processes that have high risk potential and enforce changes that will support good internal controls
- Strong written communication skills
- Auditing certifications a plus
- Fluency in English
If you are interested, please send your CV in English to: email@example.com
All applications will be treated in strict confidentiality. Only short-listed candidates will be contacted for an interview. IC Recruiting Ltd. Recruitment license from National Agency of Employment No 2087/22.07.2016