Regulatory Compliance & FCC Senior Audit Manager

Eames Consulting Hong Kong
Hong Kong
29 Sep 2017
03 Oct 2017
Contract Type

Due to continued expansion in their audit function, this leading financial services organisation has requirements for experienced compliance and FCC professionals to join their Audit function as Subject Matter Experts (SME).

Working as part of an experience team, this role will require some rgaional travel.

Key responsibilities

  • 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

Qualifications & Experience -

  • Past working experience in a relevant role, i.e. Audit and or Financial Crime Risk and or Regulatory Compliance Risk
  • Role relevant qualifications, i.e. Accountancy or Audit or Financial Crime 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