Prudential - DM/AM - Risk Auditor

Deputy manager / Assistant Manager: Risk Auditor

Position reports into: Sr. Manager – Internal Audit

Roles and Responsibilities:

- To work under the direct supervision and guidance of the Director Risk Management & IA and Manager IA to generally achieve the following mainly for PPMS and for GWIA function:

Internal audit

- Being able to properly assimilate the information provided by the Lead Auditor from the Planning phase of the audit. The Auditor should be able to understand the business background of the area being audited; and their role in the audit assignment. It maybe necessary from time to time, for the Auditor to assist the Lead Auditor in conducting the planning phase of the audit.

- Document the key processes and associated controls being examined in the audit. This will involve the use of flowcharts where necessary. The Auditor should be able to complete a control and risk assessment matrix following their documentation of the systems and processes being reviewed.

- Create a Test Programme to check that the controls identified in the risk assessment exercise are working properly.

- Address any review points raised by the Lead Auditor/ Manager and QRA team.

- Draft audit conclusions based on control and risk evaluation and associated testing. Practical recommendations for any remedial action should be made.

- Supports the Lead Auditor with reviewing evidence of delivery against recommendations through to closure.

- Promote GwIA and the service it provides by building strong and effective working relationships with business colleague, other IA staff and external auditors.

- Populate Auto Audit with planning, fieldwork and reporting material

- Assist the Lead Auditor and Audit Manager in discussing and finalising the findings and actions with the management responsible for the activities being audited.

- Use of the Team central to track and close recommendations

- Ensure IA recommendations are complementary to the business strategy.

- Deliver IA reviews of consistently high quality.

- Assist in delivery of Project Work (e.g. Production of Audit Committee Papers, Scheduling, or, Annual Planning).

- To demonstrate a positive risk, compliance and control culture through the identification, assessment, monitoring and management of risks and issues within the business area, alongside ensuring timely and appropriate resolution of control weaknesses, actions and failures that arise.

- Assist management in carrying out SOX testing which would include:

- To support the annual s404 compliance activity and the delivery of an accurate CFO and CEO s404 attestation

- Agree the scope of the annual SOX 404 Internal Testing Programme with the SOX Controller

- Participate in the execution of the annual SOX 404 Internal Testing Programme.

- Review test results and manage, to resolution, issues arising from the annual SOX 404 Internal Testing Programme.

Competence / Knowledge / Skills required:

Qualification & Certifications

- Chartered Accountancy/CPA/CIMA/MBA/CFA/Post graduate qualification

- Certifications such as CISA, FRM, CIA would be beneficial

- At least 2+ years of work experience

Knowledge

- Practical and theoretical knowledge of business risk and control frameworks

- Good understanding of company processes and related risks

- Good knowledge of the principles of accounting and auditing and their application to the business

- Experience in SOX planning, testing & documentation.

Skills

- Good time management

- Good interpersonal skills

- Ability to grasp issues quickly and provide pragmatic solutions to identified problems

- Track record of delivering process/control improvements within significant programmes of work with minimal supervision

- Ability to gather, summarise, and examine data or information and Identify implications of findings

- Proficient with Office applications

- Good report writing skills

- Good MS Office skills

- Analytical skills

- Decision making

- Planning and organizing skills

To apply, please click on the button below.