Senior Internal Audit Officer - Risk & Compliance

AB Capital Group; Taguig; Presencial; PHP 600.000 - 1.000.000; Jornada completa

Descripción de la vacante

AB Capital Securities, Inc. is seeking an Internal Audit Officer to support its independent audit function, assessing internal controls and ensuring compliance with SEC and AML/CFT requirements.

The role demands meticulous attention to detail, sound judgment, and the discipline to complete each audit engagement from start to finish. Responsibilities include audit planning, end-to-end execution, documentation, reporting, and follow-up monitoring.

Formación

• Meaningful experience in internal audit, preferably within a PSE-accredited brokerage or SEC-regulated financial institution; exposure to a BSP-regulated trust corporation or bank is a plus.
• Solid understanding of SEC regulations, AML/CFT requirements, and broker-dealer compliance frameworks.
• Hands-on experience in risk-based audit planning, execution, and reporting.
• Familiarity with brokerage operations including trade settlement, net capital monitoring, and stock record.
• Strong working knowledge of internal control frameworks (e.g., COSO).
• Excellent report writing skills; able to present findings and recommendations clearly.
• Bachelor’s degree in Accountancy, Finance, or a related field; CPA or CIA preferred.

Responsabilidades

• Audit Planning: Assist the IA Head in developing the Annual Audit Plan through risk-based assessment of auditable areas and processes.
• Audit Execution: Administer end-to-end execution of individual audit engagements — from planning through to reporting of results to the IA Head.
• Audit Documentation: Prepare individual audit plans, detailed audit programs, and working papers.
• Audit Reporting: Prepare audit results including findings, recommendations, and formal audit reports.
• Follow-Up Monitoring: Monitor agreed remedial actions and ensure timely implementation by management.
• Risk & Control Assessment: Apply governance, risk, and control concepts to audit scenarios; identify and elevate potential issues and concerns to the IA Head.

Descripción del empleo

AB Capital Securities, Inc. is seeking an Internal Audit Officer to support its independent audit function, assessing internal controls and ensuring compliance with SEC and AML/CFT requirements.

The role demands meticulous attention to detail, sound judgment, and the discipline to complete each audit engagement from start to finish. Responsibilities include audit planning, end-to-end execution, documentation, reporting, and follow-up monitoring.