The Senior Manager - Internal Audit will independently and objectively conduct risk assessment of IQ EQ processes. He/She shall plan, organise and conduct audit of Company’s operations to ensure the effectiveness and efficiency of the internal control system.
He/She shall also be responsible to ensure that IQ EQ business is in compliance with local financial sector laws and regulations.
- Responsible for enhancing the Internal Audit function;
- Gain a thorough understanding of the Company to ensure IQ EQ has suitable controls in place;
- Build constructive and supportive relationships throughout the business;
- Identify and respond to risk management issues within the business;
- Plan and conduct audits in line with the audit plan and on an ad-hoc basis as instructed by Group Internal Audit Director or when a particular risk is highlighted;
- Document audit work performed including samples selected, tests conducted and conclusions made;
- Discuss and report findings and recommendations with respective management;
- Evaluate and appraise the appropriateness of the internal control system in an independent, objective way using professional judgement;
- Advise local management on matters relating to risk identification, analysis and management and appropriate internal control;
- Evaluate and report on the implementation of the audit plan;
- Provide input for monthly and quarterly Ops and Board Reports;
- Assure an adequate liaison with external auditor or contractors regarding reviews performed;
- Arrange weekly error meetings, follow up action points with respective teams to ensure timely completion and sign offs;
- Coordinate with NetSuite team for any issues/ further improvements for the Compliance Case;
- Monitor the closing of old items in the Compliance Application;
- Provide summary of compliance cases with global impact to CS heads.
Business Continuity Planning
- Update Business Continuity Planning document as necessary;
- Coordinate Team Members for Disaster Recovery Test;
- Review Test scripts prepared by Team Members;
- Prepare audit report for BCP Test ;
- Regularly monitor/update staff details in Fact24.
- Provide input for RFPs and other Risks/Internal Audit queries;
- Assist London team in distribution of SSAE 18 type II report;
- Provide support in any project/initiatives involving Internal Audit (on going project: Fact24/NetSuite Integration, Compliance Case Phase 2)