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Audit Manager - Compliance, Conduct and FCC

The Role Responsibilities

To act as a Team Member on assigned audit work involving Compliance, Conduct, Regulatory Reform and Financial Crime Compliance (FCC) risk across the bank;
To act as Audit Engagement Leader and take responsibility for overseeing the planning and execution of the audit, maintaining the audit budget, including drafting of audit issues and the audit report;
To ensure that assigned audit work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards;
To clearly explain the risks and impact of issues identified during testing to GIA and business management
The individual may support in department wide exercises such as annual planning, risk assessment and training.
To actively manage relationships with senior auditee management and stakeholders;
To support GIA audit teams by providing product/country knowledge and expertise for their audits relating to the individual's area of expertise;

Strategy

Support the HOA and SAMs where required, in the development of the GIA risk assessment and development of an appropriate audit plan for the HOA's assigned portfolio;
Propose audits for coverage during the audit cycle based on their knowledge of the business; and
Carry out their role in line with the Audit Charter and remain independent from management and free from interference.

Audit Delivery

Participate as team member or team leader for assigned audit work and potentially lead the more complex audits such as cross-functional and multi-location high risk audits;
Ensure that audit deliverables meet quality standards and timelines in line with the GIA methodology;
Draft and submit inputs to the audit scope (including the Audit Planning Memo and Controls document) proposed by the Audit Lead;
Assist in the drafting of the audit report in the GIA report review process; and
Track the implementation/delivery of the agreed issues and action plans for the audits assigned, understanding the key risks arising, provide advice on resolution of issues to auditees/action plan owners and escalate audit findings that remain unresolved.

Risk Assessment

Support the HOA to update the relevant assigned risk assessments on a regular basis to ensure that changes in risk profiles are identified in a timely manner, proposing changes to the assigned audit plan to the HOA, as appropriate;
Be prepared to raise issues/concerns outside the normal audit process;
At the request of the HOA, attend relevant meetings (e.g. PSCs, Management Groups and Committees) to keep up-to-date on key business matters and provide the right challenge to ensure risks are appropriately identified, discussed and timely remediation plans are put in place; and
Review MI and reports regularly to keep up-to-date with key trends within the business.

Our Ideal Candidate

An experienced financial crime practitioner or auditor with a minimum of 5 years relevant experience in audit, governance, risk or in a business environment;
In-depth understanding of financial crime risk management and associated control requirements;
Strong communicator, both written and verbal, with ability to clearly explain controls to be tested and risks identified to audit and business management;
CAMs qualified;
Confident and courageous to raise and escalate ideas or concerns in a professional and timely manner;
Proactive, self-directed and able to work with minimum supervision;
;
Ability to work within a global team;
Professional audit certification preferred; and
Ability to commit to limited business travel.

Apply now to join the Bank for those with big career ambitions.