Internal Auditor - AML/KYC - Associate Internal Auditor - AML/KYC - Associate …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 Jan 20
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 28 Jan 20
Internal Auditor - AML/KYC - Associate
Internal Auditor - AML/KYC - Associate

Our Internal Audit Function

Internal Audit is an independent function that provides objective assurance guided by a philosophy of adding value to improve the operations of the organization. It assists the organization in accomplishing its objectives by bringing a systematic and disciplined approach to evaluate and improve the effectiveness of the organization's governance, risk management, and internal control processes. The team's priorities are focused on strong governance, transparency, strategic engagement and fostering a diverse and inclusive culture that focuses on people development.

Within the Audit Department, the Corporate Functions Audit team provides audit coverage of key Corporate Functions including Finance, Compliance (including AML), Tax, Corporate Real Estate, Third Party Oversight and Global Security & Investigations (GS&I). The team also works closely with each Line of Business Audit team to ensure consistent coverage of compliance, finance and risk topics, which is coordinated on a global basis.

Position Description

The Internal Auditor - AML/KYC - Associate position, based in Hong Kong or Singapore, will report into the APAC Corporate Functions AML Team Lead, with additional oversight from the Head of KYC Audit, who are responsible for audit coverage of Global Financial Crimes Compliance and Cross LOB KYC. The Auditor will be responsible for assisting with ongoing risk assessments, control identification, audit execution and continuous monitoring activities.
The applicant must be an experienced professional who possesses strong auditing skills, good knowledge of the asset management business, financial instruments and products, and solid understanding of the fiduciary activities and related internal controls systems within a financial institution.
As a member of the Corporate Functions AML/KYC Audit Team, responsibilities will include;
  • Executing and leading audit engagements from planning to reporting and delivering quality products within department and professional standards
  • Providing continuous audit coverage and maintain stakeholder relationships
  • Working closely with other regional/global business and information technology audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
  • Performing ongoing analysis of risk trends through the development and implementation of audit coverage
  • Performing detailed control assessments and test work across multiple KYC functions and processes
  • Developing recommendations to strengthen internal controls and improve operational efficiency
  • Ensuring audits are completed timely and within specified timeframe and budgets
  • Staying current with evolving industry and regulatory changes, and analyze impact to business objectives, processes, and compliance

  • 4 + years of KYC audit or business experience
  • Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
  • Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
  • Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
  • Ability to execute multiple audits at once (proven ability to be able to multi task and be able to change priorities)
  • Works well individually, and in teams, shares information, supports colleagues and encourages participation
  • Strong skills in time management and problem solving
  • Enthusiastic, self-motivated and effective under pressure
  • Be prepared to travel to the business locations
  • Minimum Bachelors degree in Accounting, Finance, Economics or related discipline (or relevant financial services experience)
  • CAMS and/or Audit Certification a plus
  • Understanding/experience of KYC and/or BSA, AML, OFAC, Sanctions a plus but not required
  • Fluent Mandarin language skill is strongly preferred
  • Location: Hong Kong / Singapore