T D Newton & Associates
Website:
tdnewton.com
Job details:
Job Description
Senior Auditor - Business Audit
Responsibilities:
· Audit delivery role to support the Business Audit team for London.
· Experience in Corporate Functions and Compliance controls and/or audit including HR, GDPR, Financial Crime control, local compliance regulations, is preferred
· ACAMS Certification is preferred.
· Responsible for Leading and delivering work on standalone and joint audits.
· Communication and stakeholder management is another key skill requirement.
· Involvement in audit engagements either as a lead or as a contributor, which will include planning executing, directing, and reporting on the audits.
· Good knowledge of business process, corporate functions, operational process related to banking in the context of compliance, ABC, culture and conduct, ethics, CSR, Data Protection and Privacy regulations and Financial Crime risk e.g. KYC, AML, Sanctions, CASS.
· Experience working in and good knowledge about FCC regulations and systems.
· A strong understanding of principles of risk management with a thorough understanding of internal control systems including IT controls.
· Responsible for understanding the underlying processes, identifying the underlying problems, and making recommendations for business and process improvements.
· Review the evidence of audit conclusions are ensure they are well-documented.
· Communicate assigned tasks to engagement team in a manner that is clear and concise and ensure the deliverables are of high quality, accurate, and efficient
· Dedicated focus on professional growth and take on more challenging assignments, in line with standard audit career progression
· Focus on upskilling and increasing knowledge on new regulations; participating in educational opportunities; reading professional publications; maintaining personal networks; participating in professional organizations
· Working on Integrated audits
· Monitoring audit recommendations
· Statutory and regulatory norms applicable to banking business
· Fluent strong communication skills and command over English language
Profile Required:
MBA/CA with 8+ years of experience in Corporate Functions and compliance audit or operations, including Compliance and Financial Crime risks.
• Execute all audits in accordance with professional standards.
• Prepares Audit work program and understands the specific risks to be evaluated.
• Performs evaluation of internal controls, testing of processes
• Performs reviews of major processes in the corporate functions' perimeter particularly compliance.
• Perform tests on the effectiveness of the Internal control environment within Company
• Maintains clear work papers and audit trail of the work done in the appropriate tool
• Write formal & clear reports to communicate audit results to management
• Makes appropriate recommendations to improve company processes
• Timely issuance of the audit reports
• Follow-up recommendations issued timely and escalate when needed
• Acquire knowledge on activities and risks during assignments and via trainings
Strong communication skills with experience of working in global teams and managing global stakeholders.
Specific Context:
This role will involve working with a global team, thereby providing exposure to other regions, regulations in other geographies e.g. UK, and to varied audit practices.
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