First VP, Internal Audit - Compliance

UOB • Phoenix, AZ

63d

About The Position

You will lead or participate in audit projects and be responsible for the audits of Group Compliance. A sound knowledge as well as familiarity with AML laws and regulatory requirements governing the businesses are essential. The team will perform different types of audits such as global, thematic or business portfolio audits of the Bank’s Head Office Operations as well as its regional subsidiaries and overseas branches. You will plan, organize, execute and conclude on the internal audits including the preparation of an audit plan and audit report which fulfills the responsibility of the team, scheduling and assigning work and estimating resource needs. You should be well-versed in assessing risks and controls; recommend business-focused solutions to improve risk management practices; as well as play an advisory role as subject matter experts. You will perform the quality review of auditing standards of the team and make recommendations to improve the audit processes and work paper documentation. You will prepare concise summarized reports and management papers for Audit Committees and other stakeholders.

Requirements

• A recognized degree, with minimum 10 years of relevant working experience either in reputable auditing firms or financial institutions.
• A sound knowledge as well as familiarity with AML laws and regulatory requirements governing the businesses are essential.
• Strong experience in risk and controls management, and an excellent working knowledge of compliance and conduct.
• Ability to multi-task and cope with change and diversity in a fast-paced environment.
• Ability to think objectively and “think outside the box” when analyzing issues.
• Possess a strong analytical and problem solving skills with excellent verbal / written communication and interpersonal skills.
• Possess strong project management skills to lead audit assignments.

Nice To Haves

• Professional certifications such as CIA, CFA, ACAMS or CPA are added advantages.
• Experience with data analytics is preferred.

Responsibilities

• Lead or participate in audit projects and be responsible for the audits of Group Compliance.
• Plan, organize, execute and conclude on the internal audits including the preparation of an audit plan and audit report which fulfills the responsibility of the team, scheduling and assigning work and estimating resource needs.
• Assess risks and controls; recommend business-focused solutions to improve risk management practices; as well as play an advisory role as subject matter experts.
• Perform the quality review of auditing standards of the team and make recommendations to improve the audit processes and work paper documentation.
• Prepare concise summarized reports and management papers for Audit Committees and other stakeholders.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees