Regional Auditor, Professional Practices
BNP Paribas
Hong Kong, Hong Kong, HK

In Asia Pacific, BNP Paribas is one of the best-positioned international financial institutions with an uninterrupted presence since 1860.

Currently with over 18,000 employees* and a presence in 13 markets, BNP Paribas provides corporates, institutional and private investors with product and service solutions tailored to their specific needs.

It offers a wide range of financial services covering corporate & institutional banking, wealth management, asset management, insurance, as well as retail banking and consumer financing through strategic partnerships.

Worldwide, BNP Paribas has a presence in 68 markets with more than 193,000 employees. It has key positions in its three main activities : Domestic Markets and International Financial Services (whose retail-banking networks and financial services are covered by Retail Banking & Services) and Corporate & Institutional Banking, which serves two client franchises : corporate clients and institutional investors.

Asia Pacific is a key strategic region for BNP Paribas and it continues to develop its franchise in the region.

  • excluding partnerships
  • BNP Paribas offers you an exciting career in an international business environment that is fast-paced, diverse and focuses on creating high-value relationships with our clients.

    We offer competitive salary and benefits, as well as a working environment where you’re valued as part of the team.

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    Position Purpose

  • To support the audit teams and audit managers in APAC by promoting standard practices advocated by Group IG and the industry, developing data analytics and various dashboards / extractions to facilitate audit work
  • To assist the COO to deliver his / her responsibilities including formalisation of governance documents, development of monitoring tools within IG APAC, compilation of reports to IG Central and regulators, audit committees / governance body presentation, budgeting, coordination of risk assessments and various projects
  • To conduct audit work in accordance with the IG methodology and ensure high standard of deliverables
  • To contribute to risk assessment of audit units based on knowledge obtained through assignments as well as day-to-day contact with auditees
  • To follow through with auditees on implementation of recommendations
  • Key Responsibilities

    A. Auditing (30% of time)

    1. Participate in audit assignments and special reviews (when required by regulators, business lines, or senior management)

  • Assist in documentation gathering for the assignment.
  • Assist in assessing the key risks of the audited areas and identify weaknesses in governance, risk management and control in those areas by carrying out appropriate evaluation and tests.
  • Raise appropriate findings and provide appropriate value-added recommendations to mitigate identified risks.
  • Complete and file all internal documents including but not limited to investigation working papers for easy retrieval to substantiate work performed.
  • 2. Review the implementation of the Inspection Générale recommendations

  • Validate the implementation of recommendations and maintain audit trail of correspondences with auditees with respect to the point of closure.
  • 3. Contribute to the periodic risk assessment of covered activities and audit planning

  • Perform periodic and comprehensive risk assessment of the covered activities as assigned by audit managers per the Group guidelines.
  • Keep abreast of change / new development of regulatory requirements that are relevant to the covered activities and related functions.
  • Assist in the elaboration of the audit plan following a risk-based approach.
  • B. Professional Practice (70% of time)

    The auditor will assist the COO in building up a professional practice for IG APAC from existing resources which will gather (i) the current COO office (performing of all tasks not directly related to the conduct of assignments, the management of auditors and the steering of the Hub), and (ii) data analytics implementation (project steering targeting the generalization of modern data analytics techniques in audit, assistance to assignments, assistance to the Hub dashboard).

    1. Prepare summary of assignment, finding, recommendation, audit plan, staff and budget information for presentation in various Audit Committees (annual and semi-annual).

    2. Maintain and compile figures to support the annual budgeting process and other head office reporting.

    3. Assist in the review of APAC cartography by coordinating with audit managers to map Organisation Units with Audit Units during the year and prepare materials for presentation in the Cartography and Risk Assessment governance bodies.

    4. Perform data analysis by extracting figures from various systems / database and producing / maintaining dashboard to review trends and support the conduct of audit assignments or continuous monitoring.

    5. Orchestrate the effort to develop the Data Analytics tools, digital working and digital communication within the hub Asia Pacific, in coordination with the Head office, and in association with the technical experts of the Hub.

    6. Monitor proper recording of resource usage in IG Hub APAC and compile figures for invoice recharging between IG Hub APAC and specific entities (e.g. ISPL and GSO).

    7. Be involved in departmental / Group IG initiated projects, whenever necessary.

    8. Contribute to the improvement of the Inspection Générale practices through following and giving feedback on audit methodologies.

    9. Contribute to the establishment of internal policies & procedures specific to IG Hub APAC

    10. Assist to arrange the logistics / liaise with relevant parties on training for internal auditors

    11. Direct contribution to BNPP operational permanent control framework and periodic reporting to management and Head Office.

    Technical and Behavioral Competencies required

  • Strong analytical mind, innovative, organized and good presentation skills
  • Data Analytics
  • Is conversant with audit methodology / standards and control concepts
  • Is dynamic and passionate in keeping abreast of what is happening within the bank
  • Is detail-oriented and sensitive to figures
  • Demonstrates planning, organizing and communication / interpersonal skills in performing his / her work and dealing with counterparts
  • Is eager to acquire knowledge of business, products, risks, practices, policies and regulations
  • Practically adapts theory and experience to circumstances of assignment
  • Is analytical and able to anticipate problems / obstacles, able to distinguish material from non-material items in making decisions
  • Is mindful about deadlines and disciplined in completing deliverables at the required level of standard
  • Good team spirit
  • Good written and oral communication skills in English
  • Specific Qualifications (if required)

  • Possess a Bachelor’s / Master’s Degree in related disciplines;
  • Possess experience in external auditing / internal auditing / credit / risk / compliance / internal control / operations in the financial services industry;
  • Professional Qualification / Certificate in Audit / Accounting, e.g. CA, CIA, CISA, is a plus.
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