Job ref no.: 761560/001

Vice President, Audit Manager, Global Markets

Robert Walters

To carry out Audit activities within Asia Pacific Global Markets business i.e. Equities and Fixed Income, Currencies and Credit businesses; In particular, this role is expected to lead our audit coverage activities relating to regional Equities and Futures and Options business, which is predominantly hubbed in Hong Kong

Position Description

This individual will be responsible for the following:

  • To carry out Audit activities within Asia Pacific Global Markets business i.e. Equities and Fixed Income, Currencies and Credit businesses; In particular, this role is expected to lead our audit coverage activities relating to regional Equities and Futures and Options business, which is predominantly hubbed in Hong Kong
  • Leading or participating in individual risk-based audits and reviews, including planning, process mapping, fieldwork and reporting
  • Proactively implementing audit strategy for the sound application of risk-based practices by defining audit scope, audit program, and review and test procedures in area of responsibility
  • Identifying and evaluating impact of key control deficiencies during audits and reviews to drive actionable business impact and influence management on sufficiency of corrective actions
  • Assisting in the development and management of the annual audit plan including coordination with other regional and global teams / team leaders
  • Contributing to and participating in various key control related functions and governance forums
  • Development and training of junior Corporate Audit associates
  • Build and effectively manage local management relationships as well as take ownership and responsibility for local audit related activities and governance, in conjunction with senior management within Audit
  • Coordinate timely and accurate regulatory submissions in conjunction with the various Line of Business “LOB" / Country /Regional audit teams

Responsibilities:


  • Oversee and execute assigned areas of audit work, providing day to day coaching and guidance to teammates
  • Lead analysis of control deficiencies as well as expansion and refinement of documentation for more complex control deficiencies, recommend appropriate audit rating, and to validate for issue closure
  • Typically acts as Auditor-in-Charge (AIC); When leading an audit engagement, is responsible for day to day coaching, mentoring, and performance feedback; Fosters an inclusive work environment
  • Utilise sound, seasoned analytical skills and possesses product, business, and technical expertise to execute assigned responsibilities
  • Demonstrates strategic thinking and supports change; Oversees audit testing to ensure timely execution within quality standards and conformance to audit policies and procedures
  • Assesses issues for impact to business processes (GBAM businesses and the relevant control functions), controls and strategies, recommends severity ratings and escalation of broad themes or trends
  • Drafts quality and timely audit reports and shares results with business leaders
  • Manages business partner relationships when conducting specific audits; primary engagement is with line management
  • Exercises judgment and critical thinking to influence business partners to drive business actions and influence management on sufficiency of corrective action

Requirements:


  • Education to Bachelor Degree and Qualification in accounting and auditing
  • Minimum 10-12 years including 3- 5 years in an Audit role
  • In depth knowledge of Global Markets (in particular Equities) businesses and local regulatory requirements in Hong Kong / APAC
  • Hands on experience in leading large / complex regional audits with teams of 2-4 people across locations
  • Ability to multi-task and work across regions
  • Excellent communication and strong analytical skills
  • Ability to build and effectively manage local management relationships as well as take ownership and responsibility for local audit related activities and governance related matters
  • Fluent in English to communicate effectively with stakeholders
  • Ideal candidate will be based in Hong Kong

Get in touch

Christy Zhang

+852 2103 5302

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More job information
Job ref no. 761560/001 (CT3117255-01#6587)
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 10 years - 15 years
Career Level
  • Middle management level
Education
  • Degree