Chief Auditor (HSBC Securities Taiwan)
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Job Location:
Taipei City - Taiwan
Monthly Salary:
Not Disclosed
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
Functional Description: Group Internal Audit provides independent assurance to management and the Risk
and Audit Committees that HSBCs risk management governance and internal control processes are designed appropriately and are operating effectively.
People Responsibility: Yes
Functional Reporting to Head of Audit International Markets Southeast Asia and Site Lead
Entity Reporting to Chairman HSBC Securities Taiwan (HCTW)
Act as the Audit Head for HSBC Securities Taiwan Limited overseeing and managing audit activities by leading audit execution and delivery. Provide internal stakeholders with independent and insightful assessments of the governance risk management and internal control framework. Represent the audit function in senior governance forums engage with regulators and promote a culture of integrity excellent and continuous improvements.
Support the completion of the allocated audit fieldwork in accordance with designated Global Audit Methodology.
Work collaboratively with audit team to manage audits including identifying key stakeholders planning and organizing fieldwork identifying weaknesses escalating issues and supporting effective issue resolution.
Represent audit function in regulatory engagements and ensure compliance with local and global standards.
Interact with key stakeholders including regulators when necessary to strengthen Global Audit Groups relationship and reputation.
Work as a team to support and deliver the audit plan.
Liaison with HSBC Regulatory Compliance teams to ensure business process are conducted in accordance with established policies and requirements.
Apply professional knowledge and expertise to understand the business activities and develop appropriate audit approaches and solutions.
Execute and complete the audit plan as approved by the Group Audit Committee with appropriate change via continuous monitoring.
Minimum of 4 years experience in securities firms or at least 3 years experience within financial institution.
Basic cash equities product and foreign securities product knowledge
Strong communication skills with proven ability in both written and spoken English
A highly motivated and pro-active self-starter
Good analytical and problem-solving skills
Flexible worker who demonstrates adaptability
Able to work under tight deadlines; Will commit to delivery on time
Able to work as part of a team and independently under minimal supervision
Global Personal Account Dealing covered worker
Senior Securities License is required
Financial Knowledge and Ethic Certificate (for role holder with Senior Securities License acquired after 1AUG06)
Required Experience:
Chief
Key Skills
- Auditing
- Time Management
- ICD-10
- Accounting
- Component evaluation
- Workers' Compensation Law
- SOX
- Microsoft Excel
- CPT Coding
- Internal Audits
- Medicare
- Bookkeeping
About Company
HSBC Holdings plc is a British multinational investment bank and financial services holding company. It was the 7th largest bank in the world by 2018, and the largest in Europe, with total assets of US$2.558 trillion.
