Summary of Role

The Taipei-based Statutory Audit Team of AB Taiwan Internal Audit is the dedicated internal resource responsible for executing the annual statutory audit plan as required by the Financial Supervisory Commission, and reports into the Audit Team Leader.  The team identifies and evaluates the effectiveness of the key controls presented by Management as part of the annual statutory audit plan. The Audit Associate will work as a member of the team to perform effectiveness testing of key control activities to ensure compliance with control objectives and the effective operation of internal controls. The auditor will assist in the continued refinement, timely completion, and ongoing maintenance of all documentation (process flows, narratives, and risk matrices, et al). Reviews are performed to assist in identifying risk, assessing the relative accuracy of information, the effectiveness of internal controls, and compliance with Management-instituted policies, procedures, and applicable regulatory rules and regulations. It’s a unique opportunity for a junior professional to gain experience with a leading international fund manager in all regulatory and internal control aspects of the Taiwan SICE and SITE business and gain exposure to AB’s Senior and Executive  Management and have the ability to influence change and mitigate risk across the entire organization.

Responsibilities

The Audit Associate will:

1. Assist the Audit Team Leader/Audit Director – Asia Pacific (“Audit Management”) in executing and overseeing the annual statutory audit’s documentation and testing by the following means:

Overall execute internal control testing in support of the statutory audit program, including assessing risk, validating controls, and updating as required. Coordinate and / or participate in process walkthroughs with Management (process owners) to review all existing key controls.Assess effectiveness of application controls and key reports relating to business processes.Create and execute test procedures and document test results in accordance with work paper guidelines. Prepare work papers to ensure consistency between test objectives, evidence obtained and test results. Keep Management apprised of audit plan status and escalate any exceptions/key issues for review. Assist Management in updating current process documentation over internal controls, and actively partner with Management to ensure effective controls are in place to address key IT, business, and financial reporting risks.  Advise Management on effective control design, test results and related assessments supporting the firm’s compliance efforts.Continuously report statutory audit plan progress and results to Audit Management.Prepare audit report drafts.Recommend corrective actions/business resolutions, as appropriate, and follow up on implementation.Ensure that deliverables are completed timely and accurately.Develop and maintain a professional relationship with internal client personnel.

2. Assist Audit Management in accomplishing other periodic tasks: 

Execute and report on the AB Taiwan annual control self-assessment review.Assist in the preparation and pre-review of documentation for regulatory inspections, liaise with inspectors during the review, and handle any issues follow-up to resolution.Monitor the external regulatory environment on a monthly basis, log changes, and apply them to the audit plan in the next cycle.Assist with preparing periodic regulatory report submissions.Assist with preparing governance committee meeting materials.Assist with any other ad hoc reviews (Taiwan deep dives/risk-based reviews).

3. Other - Participate, as appropriate, in professional associations.

Skills/Experience Required 

A college degree with a major in accounting or related business area. Master’s Degree is a plusUp to three years audit, compliance, risk management, business experience, preferably for a medium to large financial services firm and/or Big 4.The certificate of Securities Investment Trust and Consulting Professionals. (If not, then willingness to study and obtain one.)Fluent in written and spoken Chinese and English.Excellent interpersonal and communication skills essential. Ability to interact with senior and executive level management on a regular basis.Experience in auditing financial and operational controls within a wide range of business processes (within either an external or internal audit environment) or similar risk and control assessment skills gained in business operations, risk or compliance monitoring.A good understanding of governance, risk management and control at an operational and organisational level.Strong analytical and project management skills.Well-developed writing skills to be able to effectively report any issues and recommendations for improvement to our internal clients.Ability to manage and deliver against deadlines while working on multiple projects.Some exposure to, or understanding of, regulations for financial services clients.Problem solving skills and being able to implement and deliver solutions tailored to clients' needs.Proficient in Microsoft Office, especially Excel, and propensity to quickly learn new applications, processes, and areas of business.Experience in auditing information security and/ or the ISO27001 Standard is a plus.

歡迎身心障礙者應徵

Taipei City, Taiwan