Internal Audit Assistant Manager (Insurance, Sales Advisory)

LMA Recruitment Limited; Singapore; Sur place; SGD 120 000 - 180 000; Plein temps

Résumé du poste

LMA Recruitment Limited in Singapore is seeking an experienced Internal Audit professional to join a growing team in Singapore. The role focuses on sales advisory, conduct and distribution-related risks, with opportunities to impact controls and regulatory compliance.

Ideal candidates have 5+ years in financial services, preferably in insurance or FA firms, and are from Internal Audit, Compliance or Business Risk.

Qualifications

• Degree in Accountancy, Business, Finance or a related discipline.
• At least 5 years of relevant experience within financial services, ideally insurance or an FA firm.
• Strong exposure to sales advisory, sales conduct, distribution controls and/or regulatory compliance.
• Candidates from Internal Audit, Compliance, Business Risk or Line 1.5 functions are welcome to apply.
• Exposure to BSC reviews, investigations or sales advisory monitoring would be advantageous.
• Strong stakeholder management, analytical and communication skills.

Responsabilités

• Plan and execute risk-based internal audits, from scoping and control testing through to reporting and remediation follow-up.
• Review the effectiveness of controls around sales advisory processes, conduct and regulatory requirements.
• Conduct investigations, thematic reviews and Balanced Scorecard (BSC) reviews relating to sales practices and advisory standards.
• Identify control gaps, root causes and emerging risks, and recommend practical improvements.
• Partner closely with stakeholders across the 1st and 2nd Lines of Defence to identify potential red flags and strengthen controls.
• Support major business and change initiatives from a risk and controls perspective.

Connaissances

Internal Audit

Compliance

Risk management

Stakeholder management

Communication

Formation

Degree in Accounting/Finance

Description du poste

We are looking for an experienced professional to join a growing Internal Audit team in a newly created position, with a particular focus on sales advisory, conduct and distribution-related risks.

This opportunity is particularly suited to candidates from insurance companies or Financial Advisory (FA) firms, including those currently in Internal Audit, Compliance or Line 1.5 / Business Risk who are keen to move into Internal Audit.

Key Responsibilities

• Plan and execute risk-based internal audits, from scoping and control testing through to reporting and remediation follow-up.
• Review the effectiveness of controls around sales advisory processes, conduct and regulatory requirements.
• Conduct investigations, thematic reviews and Balanced Scorecard (BSC) reviews relating to sales practices and advisory standards.
• Identify control gaps, root causes and emerging risks, and recommend practical improvements.
• Partner closely with stakeholders across the 1st and 2nd Lines of Defence to identify potential red flags and strengthen controls.
• Support major business and change initiatives from a risk and controls perspective.

Requirements

• Degree in Accountancy, Business, Finance or a related discipline.
• At least 5 years of relevant experience within financial services, ideally within insurance or an FA firm.
• Strong exposure to sales advisory, sales conduct, distribution controls and/or regulatory compliance.
• Candidates from Internal Audit, Compliance, Business Risk or Line 1.5 functions are welcome to apply.
• Exposure to BSC reviews, investigations or sales advisory monitoring would be advantageous.
• Strong stakeholder management, analytical and communication skills.