Offers “Bnp Paribas”

Expires soon Bnp Paribas

Internal Audit – Financial Security Auditor

  • Hong Kong
  • Accounting / Management control

Job description

Main Objectives & Purpose

· To conduct (lead or participate) and report on audit assignments on Compliance topics and support activities in a risk controlled environment.
· Review, upon request, the implementation status of audit recommendations for closure.
· To assist in conducting audit risk assessments and periodic reporting to Compliance Audit management.

Customer/Supplier Relations

Internal: Bank Management, Compliance Function, auditors in Asia Pacific and colleagues in all departments

External: Regulators and external auditors

Key Results Areas

1. Audit Assignments

Head of Assignment

· Lead the assignment in accordance with BNPP Internal Audit Guidelines, Compliance Audit methodology, International Professional Practices and established internal communication protocol.
· Oversee and co-ordinate work performed to ensure optimal resource allocation and efficient completion of assignments.
· Review work done by audit team to ensure that the work scope objectives are achieved
· Ensure timely delivery of audit deliverables
· Complete the audit report within the timeline specified in internal guideline.
· Ensure the completion of UNIK tool input for launched assignments.
· Escalate to the Head of Compliance Audit, Asia Pacific unresolved matters or disputes with the auditees for timely resolution.

Auditor of Assignment

· Assist in the planning of the assignment e.g. preparing the methodology, collating raw data, obtaining past recommendations, conduct preparatory meetings with auditees etc.
· Assess the adequacy and effectiveness of the system of internal control according to Group standards and requirements
· Identify, analyze, evaluation and document sufficient information to effectively assess the area audited
· Maintain quality audit deliverables that allows proper assessment of the audited area
· Meet the deadlines specified in each Assignment
· Provide appropriate value-added recommendations to mitigate identified risks.

2. Review the implementation of recommendations upon request.

3. Annual risk assessment and planning (adhoc)

· Perform risk assessment per the guidelines and templates.
· Assist in audit planning process.

4. Head Office reporting (adhoc)

· Contribute by reporting on the developments and control related events arising within the base location.
· Contribute to IG Audit Dashboard reporting.

5. Regulatory updates

· Be updated with regulatory requirements within the base location that are relevant to Compliance topics.
· Be familiar with all Group policies and procedures in the areas of Financial Security

6. Internal communication

Regularly communicate with and keep team members posted on significant events in relation to regulatory requirements within the base location.

Desired profile

Qualifications :

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