Audit Team Leader
AllianceBernstein
Taipei, TW
4天前

Responsibilities

The Internal Auditor will perform these activities under the guidance of the Non-US Audit Directork and Asia ex Japan Audit Manager in Taipei ( Audit Management ).

Such audit assignments are performed to assist in assessing the relative accuracy of financial information, the effectiveness of internal controls, and compliance with management instituted policies, procedures, and Taiwan specific regulatory requirements.

This position is an opportunity for experienced professionals to join a dynamic global team to deliver value added audit services.

The candidate will be a member of the global audit team performing audit activities supporting the Asian country businesses, and be based in Taipei.

AB Internal Audit’s Mission is to be a world class department which :

  • Serves as a trusted advisor
  • Provides global audit assurance and advisory services that contribute to risk mitigation, operational excellence, and regulatory compliance
  • Employs highly competent, well-credentialed personnel applying audit best practice standards; whose priorities are deeply aligned with the interests of the firm’s clients, unit holders, and key stakeholders
  • The Internal Auditor will be responsible for carrying out the following duties :

    Assist Audit Management in carrying out the global annual audit plan by the following means :

  • Assist in developing and planning the scope of audits.
  • Prepare audit programs and execute comprehensive audits in various operational and financial areas of Asia ex Japan countries,
  • Supervising day to day staff activities and of co-sourcing engagements, if any.
  • Participate in audit planning, progress, and wrap-up meetings.
  • Identify internal control weaknesses, and recommend corrective actions or business resolutions, if required, and follow up on implementation.
  • Prepare audit workpapers (narratives / process flows, risk and control matrices, etc.) that evidence completion of the audit, and that forms an adequate basis for the audit report.
  • Prepare drafts of audit reports.
  • Assess the accuracy and adequacy of financial information and the effectiveness of the Company’s internal control structure by :

  • Using inquiry and observation
  • Reviewing transactions, documents, records, reports, accounting and operational methodologies
  • Employee data analytics procedures
  • Preparation of responses / suggestions / feedback to other departments’ inquiries
  • Assist Audit Management in accomplishing certain administrative tasks :

  • Preparation of annual risk assessments.
  • Preparation of annual audit plan.
  • Supervising day to day activities.
  • Preparation of regulatory reporting
  • Preparation of board / committee materials
  • Staff recruiting, staff evaluations, and development, if any.
  • Providing written commentary for the Group Board of Directors Audit Committee material.
  • Qualifications

  • Must meet regulatory requirements per the Article 6 of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises (SITE) regarding qualifications for SITE auditors.
  • Overall seven plus years audit (7+) experience within funds management or other relevant financial services industry, executing financial and operational audits.
  • Good working knowledge of the fund management and securities industry, and financial products.
  • Strong knowledge of regulations as applicable to SITE entities is preferred.
  • Successful lead and / or supervisory audit experience.
  • CIA and / or CPA preferred, but not required.
  • Strong big picture’ skills.
  • The ability to work successfully independently, and as a team member.
  • The ability to interact with all levels of management.
  • The ability to travel internationally (0% to 10%) to attend NY Group Internal Audit Meetings and to participate in audits in the Asia Pacific Region.
  • Strong written and oral communication skills in both Mandarin and English is essential.
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