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Internal Auditor
mid · Audit & Accounting
At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together.
Group Internal Audit (“GIA”) is responsible for conducting independent, objective and risk-based audits of all relevant Group business activities in accordance with the annual audit plan. A risk-based approach is applied in determining the annual audit plan, which is updated throughout the year.Based in Hong Kong and reporting directly to the Hong Kong Head of Internal Audit, the Internal Auditor will have primary responsibilities over the audits and audit-related activities of the Hong Kong Branch of Bank Julius Baer. When required, the Internal Auditor may be tasked to provide support to other key Julius Baer locations including but not limited to the Asia region.
The Internal Auditor is required to assist and support the Hong Kong Head of Internal Audit in the day-to-day activities of GIA. In addition to audit-specific tasks, the Internal Auditor may at times be instructed to carry out special assignments or investigations.
PRINCIPALES FUNCIONES
Key Responsibilities
- Plan or support audit engagements, including the identification of risks and defining key audit objectives
- Working collaboratively within the audit team and audit stakeholders to ensure completion of the audit assignment within the budgeted time
- Risk focused, and exercise high level of professional scepticism
- Ensuring that audit documentation complies with auditing standards and internal audit methodology
- Drafting and finalisation of the audit issues, including the in-depth assessment of root cause(s). Independent assessment of the severity of identified issues and related risks
- Drafting and finalisation of the Audit Report (applicable if the Internal Auditor is the Responsible Auditor leading the audit)
- Where required, the Internal Auditor will be responsible for the follow up of audit issues raised, and to perform independent review to validate that appropriate remedial measures have been implemented by management to mitigate the underlying risk(s) within the agreed time frame
- Where required, support and contribute to the annual risk assessment and the annual audit planning process
- Work effectively and collaboratively in inter-disciplinary teams (e.g., integrated audits with IT auditors or Data Analytics specialists)
Collaboration
- The Internal Auditor shall provide guidance to audit team member(s), and to perform detailed reviews to ensure high quality audit documentation and well-supported audit conclusions (applicable if the Internal Auditor is the appointed Responsible Auditor leading the audit)
- The Internal Auditor is also expected to provide positive developmental feedback to the team member(s) on a timely basis (applicable if the Internal Auditor is the appointed Responsible Auditor leading the audit)
- The Internal Auditor is expected to contribute positively, and proactively escalate any challenges or issues to the Responsible Auditor and Lead Auditor
- Proactive sharing of knowledge and insights within GIA
Client Management (internal & external)
- Continuous and impactful contact with key stakeholders (management, internal stakeholders, global / regional audit team, as applicable)
- Foster and maintain strong professional relationship internally and externally
- Coordinate audits with auditees, including planning, fieldwork, issue discussion, and reporting
Regulatory and/or Risk Management
- Ensure appropriate ethical and compliant behaviour within the function by clear demonstration of appropriate values and behaviours including but not limited to standards on honesty and integrity, due care and diligence, fair dealing (treating customers fairly), management of conflicts of interest, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations.
- The Internal Auditor must comply with local practices (including regulatory expectations), GIA internal audit methodology, as well as with the Standards for Professional Practice of Internal Auditing by the Institute of Internal Auditors (“IIA”).
YOUR PROFILE
Personal and Social
- Excellent inter-personal skills
- Sound judgement, proactive, and out-of-the-box thinking
- Able to work with minimal supervision and under tight deadlines
- Possesses strong organization ability and time management skills
- Meticulous, eye for detail, and good team player
- Innovative and creative thinker, desire to question the past and develop the future
- Embracing new trends and developments in a broad context, including auditing techniques
- Preparedness for limited (up to 20%) travelling
Professional and Technical
- At least Bachelor’s degree, preferably in Finance or Accounting
- CA, CPA and/or CIA
- Candidates holding recognised AML certifications such as CAMS (Certified Anti-Money Laundering Specialist) are preferred.
- Between 3 to 8 years post-graduate experience in auditing, preferably in the Wealth Management industry. Good knowledge of local banking and relevant regulatory body rules and regulations in Hong Kong. While not a must, knowledge of banking and regulatory requirement of Singapore will be a plus.
- Demonstrated ability to work well with others in a dynamic, fast-paced, and geographically distributed organization
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