The Lead Principal Auditor typically leads complex audits of a specific business/functional area/region, and evaluates the adequacy and effectiveness of internal controls relating to risks within those business areas. They typically act as coach for auditors. They will proactively develop and maintain professional consultative working relationships within their function and with stakeholders inside and outside the bank. They will use a range of approaches to collect relevant information to assess key risks, resolve major issues or carry out tasks across a portfolio.
Additional Job Description
Details of the Division and Team:
The Lead Principal Auditor typically leads complex audits of a specific business/functional area/region, and evaluates the adequacy and effectiveness of internal controls relating to risks within those business areas. They typically act as coach for auditors.
They will proactively develop and maintain professional consultative working relationships within their function and with stakeholders inside and outside the bank. They will use a range of approaches to collect relevant information to assess key risks, resolve major issues or carry out tasks across a portfolio.
The Lead Principal Auditor works in a co-operative manner with subject matter experts and other teams from across the function and outside the function to provide ‘front-to-back’ audit coverage and will actively contribute to the delivery of team plans in support of the functional and business strategies. They may occasionally lead ad-hoc projects and special investigations and represent the division at committees and forums, both internally and externally.
What we will offer you
- A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and wellbeing at its center.
- You can expect
- Competitive Salary and non-contributory pension
- 20 days annual leave plus generous number of public holidays
- Life Assurance and Private Healthcare for you and your family
- A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives
- The opportunity to support a wide ranging CSR program plus take volunteering leave days
Your key responsibilities
- Reporting to a Principal Audit Manager, the Lead Principal Auditor will work as part of a multi-disciplinary audit team within Hong Kong.
- Whilst the work will predominantly focus on auditing the Investment Bank Origination & Advisory Division (Corporate Finance) there will also be the need to cover other areas of the bank from time to time.
- Based in Hong Kong, the role will allow for limited travel to other DB locations, mainly within Asia Pacific.
- Execute day-to-day operational audit work and contribute to the delivery of audits (including the Continuous Monitoring process and the updating of Risk Assessment Profiles).
- Lead complex audit assignments, draft audit findings / reports for review by audit management, facilitate issue tracking and validate closure of issue.
- Lead and execute audit work in line with the agreed audit approach e.g. documenting Activity / Process Flows, identification of key risks and testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with Group Audit (GA) standards.
- Complete all assigned work in line with agreed budgets, including ad hoc projects and special investigations.
- Proactively develop and maintain professional working relationships with colleagues, the business and respective support areas.
- Partner with other audit teams (regionally and / or globally) such as Risk, Finance, Technology and Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits of Investment Bank Origination & Advisory and its associated support functions.
- Communicate openly with GA management and the internal stakeholders; keep them informed of potential issues and escalate problems / delays accordingly.
- Keep abreast of pertinent industry, regulatory and business practices.
- Deliver and sustain own performance against key objectives in the context of functional strategies.
- Support the development of an environment where people management and development is the number one priority.
- Take ownership for own career management, seek opportunities for continuous development of personal capability and improve performance contribution.
Your skills and experience
- Knowledge and experience of financial services particularly Investment Banking products including interest rate, foreign exchange, equity, and structured products, coupled with familiarization of working within the operational requirements and regulatory environment of a global Bank.
- Professional credentials, including degree level education and a relevant professional qualification.
- Knowledge of auditing standards and concepts.
- Fluency in English and Chinese (written and verbal) languages as this role requires liaising with local, regional and global stakeholders.
- A proven track record of meeting client needs in a financial services environment.
- Excellent team working capabilities and an ability to build strong business and team relationships. Act as coach for auditors.
- Strong strategic / analytical thinking.
- Strong project management and planning skills.
- Able to convey, complex concepts and ideas on issues requiring interpretation and opinion, in a logical and structured approach.
- Able to challenge and be challenged whilst maintaining the highest levels of professionalism.
- Experienced in delivering work under tight deadlines.
Role is required to be performed primarily on-site at the International Commerce Centre. Relevant health and safety requirements apply.
How we’ll support you
- Flexible working to assist you balance your personal priorities
- Coaching and support from experts in your team
- A culture of continuous learning to aid progression
- A range of flexible benefits that you can tailor to suit your needs
- Training and development to help you excel in your career