Compliance Auditor | Claremont

The Recruitment Council; Claremont (CA); On-site; USD 70,000 - 90,000; Full time

Job summary

A professional recruitment agency is seeking a Compliance Auditor in Claremont to enhance internal controls and identify risks. The ideal candidate will have 5-6 years of internal audit experience, especially within asset management, and proficiency in audit software. This role is crucial for maintaining compliance and improving processes in the organization.

Qualifications

• 5-6 years of experience in internal auditing.
• Audit experience at a Collective Investment Scheme Manco and/or Administrative FSP.
• Internal audit experience in asset management.

Responsibilities

• Conduct internal audits to ensure the effectiveness of internal controls.
• Identify and propose controls to mitigate risks.
• Discuss audit findings with business unit leaders.

Skills

Internal auditing

Risk assessment

Process improvement

Data analytics

Use of audit software

Education

Qualification in Internal Audit

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

IDEA

Job description

Overview

Are you a meticulous and experienced Audit and Risk Specialist with a knack for identifying risks and improving processes? Our client is seeking a Compliance Auditor to join their team in Claremont. This role is crucial for ensuring the adequacy, effectiveness, and efficiency of their internal control systems and procedures. If you have a strong background in asset management and a keen eye for detail, this is an excellent opportunity to make a significant impact.

Responsibilities

• Conduct internal audits to assess the adequacy, effectiveness, and efficiency of established internal controls and procedures in line with the Global Internal Audit Standards.
• Identify areas of risk within the organization and propose appropriate controls to mitigate them.
• Discuss audit findings and recommendations with business unit leaders and monitor the timely implementation of recommendations.
• Perform business unit, information technology, and internal process audits.
• Complete audit work papers by documenting audit tests and findings.
• Provide guidance to external auditors.
• Evaluate the organization’s readiness for business interruption.

Experience and Qualifications

• A qualification in Internal Audit.
• 5-6 years of experience in internal auditing.
• Audit experience at a Collective Investment Scheme Manco and/or Administrative FSP/Linked life experience is non-negotiable.
• Internal audit experience in asset management, preferably in a multi-manager environment with exposure to local and offshore funds.
• Knowledge of the Global Internal Audit Standards is non-negotiable.
• IT audit experience.
• Proficiency in Microsoft packages (Excel, Word, and PowerPoint) and experience using audit software (e.g., IDEA) and data analytics tools.