To communicate and clarify audit findings and provide recommendations to the auditees in the course of audit and exit meeting
To perform audit follow-up reviews on internal and external audit reports
To assist assistant manager in special investigations or projects assigned by the Audit Committee, Board of Directors or requested by the Senior Management based on clear terms of reference
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Analyse customer voices (from survey and feedback) to explore opportunities for cross-functional process improvement that enhances productivity and improves control and risk management
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Lead the planning and execution of internal audits covering AML controls, E-Money Operations, Merchant Operations and regulatory compliance. Ensure thorough follow-up and resolution of identified issues.
Conduct internal audits professionally and objectively, complying with the Institute of Internal Auditors’ standards. Deliver timely and actionable audit reports to enhance internal control systems.
Keep up-to-date with the latest developments in broker-dealer operations and global financial markets. Incorporate industry best practices into the organization's risk, compliance, and audit frameworks.
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Perform and control the full audit cycle including risk management and control management over operations’ effectiveness, financial reliability and compliance with all applicable directives and regulations
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Develop & implement audit report and perform follow-up review to monitor the implementation of controls and process improvements.
Execute and complete audit fieldwork, testing and relevant working papers on the adequacy and effectiveness of corporate governance, risk management and internal controls. Work performed should be adequately supported, properly documented and aligned with audit scopes/objectives.
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Develop & implement audit report and perform follow-up review to monitor the implementation of controls and process improvements.
Execute and complete audit fieldwork, testing and relevant working papers on the adequacy and effectiveness of corporate governance, risk management and internal controls. Work performed should be adequately supported, properly documented and aligned with audit scopes/objectives.
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Draft audit findings/observations related to identified process gaps, assess the impact of these findings/observations, and propose constructive solutions/improvements. Additionally, ensure the acquisition of Management responses and agreed-upon action plans within the agreed timeframe.
Follow up on audit findings/observations upon the implementation of management actions and continuously monitor audit findings/observations to ensure the effectiveness of implementation and prevent recurrence.
Maintain proper audit working papers to ensure the quality and integrity of the audit process.
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