Local Head of Audit
1. Participate in the audit team assignments and special reviews (when required by regulators, business lines, or senior management)
Head of Assignment
- Lead the assignment / review in accordance with BNPP Internal Audit Guidelines, International Professional Practices and established internal communication protocol.
- Plan, oversee and co-ordinate the work performed to ensure optimal resource allocation and efficient completion of assignment by preparing the methodology, collating raw data, obtaining past recommendations, preparing meetings with auditees, etc.
- Assess the key risks of the audited areas and coordinate the team to identify weaknesses in governance, risk management and control in those areas and raise appropriate findings and recommendations.
- Review work done by audit team to ensure that the work scope objectives are achieved.
- Complete the audit report within the recommended timeline.
- Escalate to the Supervisor unresolved matters or disputes with the auditees for timely resolution
Auditor of Assignment
- Assist in documentation gathering for the assignment.
- Assist in assessing the key risks of the audited areas and identify weaknesses in governance, risk management and control in those areas by carrying out appropriate evaluation and tests.
- Raise appropriate findings and provide appropriate value-added recommendations to mitigate identified risks.
- Complete and file investigation working papers for easy retrieval to substantiate work performed.
2. Review the implementation of the Inspection Générale recommendations
- Validate the implementation of recommendations and maintain audit trail of correspondences with auditees in respect of all implementation.
3. Contribute to the periodic risk assessment of covered activities and planning
Perform a periodic and comprehensive risk assessment of the covered activities as per the Group guidelines.
- Keep abreast of change/new development of regulatory requirements that are relevant to the covered activities and related functions.
- Assist in the elaboration of the IT audit planning following a risk-based approach.
4. Liaise with regulators, external auditors and other BNP Paribas Inspection Générale Hubs, to keep abreast of global standards and regulatory developments.
- Conduct regular liaison / meetings with business line management, territory management for updates on business
- Keep abreast of the local regulatory requirements and alert the IG Country Manager whenever situation warrants.
- Prepare necessary reports in collaboration with the Country Manager and IG APAC COO for regulators when required.
5. Represent IG Hub APAC in attending local audit committee meetings
- Prepare meeting materials for Audit Committee meetings and attend the meeting together with respective IG Country Manager.
- Contribute to the Hub’s transversal reporting to local, regional and central management
- Possess a Bachelor’s / Master Degree in related disciplines;
- Possess experience in external auditing / internal auditing / credit / risk / compliance / internal control / operations in the financial services industry.
- Related Taiwan certificate/ licenses such as Financial Markets and Professional Ethics, Senior Securities Specialist, Bank Internal Control and Audit