Manager, Compliance Audit

Manager, Compliance Audit role at Woori Bank Careers

Responsibilities

• Prepare monthly and regulatory compliance audit plan.
• Plan and execute regulatory compliance audit in accordance with regulatory requirements from various regulators and based on approved risk‑based audit plan.
• Manage the planning, conduct, output and opinions for audit assignments within agreed deadlines, budgets and quality standards.
• Timely bring to the HIA’s attention any suspected areas and / or serious misconduct and conflict‑of‑interest issues of all levels of staff within the Bank and any misuse of the Bank’s assets.
• Ensure key risk arrears and potential non‑compliance issues are addressed in a timely manner and alert engagement team leader, manager / Head of Internal Audit.
• Ensure pre‑audit procedure and documents are performed in a timely manner, completed with quality.
• Direct audit staff in planning, implementing audit plan.
• Review and evaluate internal controls, systems, risk management and governance processes and recommend corrections, improvements and compliance.
• Identify risk areas and advise on control gaps and opportunities for improvement.
• Highlight key issues during audit; conduct audit exit meetings that are professional and provide value‑adding observations to the Bank.
• Ensure all working papers are completed and in order – initials, cross‑references, dates, work descriptions, clearance, etc.
• Initial draft report for 24‑hour response is sent to management.
• Draft audit report is timely submitted to HIA with quality and updated audit plan.
• Ensure all issues are agreed prior to submitting report to HIA.
• Ensure quality of report and working papers before submitting draft report to HIA.
• Timely review draft audit reports and working papers, ensuring quality and adequacy of the work performed prior to submission for final review.
• Ensure the quality, adequacy and completeness of audit samples, work papers, validity of audit findings and recommendations.
• Ensure testing done by internal auditors meets required standards and latest audit program.
• Provide timely clear review notes.
• Ensure audit assignment is conducted with quality.
• Conduct audit engagements in line with audit procedures and manual.
• Receive positive feedback from auditee.
• Develop audit program and working papers to address new risk, products, processes, regulations or systems.
• Regularly update audit programs and working papers for new risks and systems.
• Identify the institution’s risk areas and advise on control gaps and opportunities for improvement.
• Ensure audit policy and procedure manual are updated in a timely manner.
• Manage audit team and provide performance appraisals for internal auditors and other staff.
• Receive positive feedback from audit team and management.
• Continuously build self and staff’s capacity.
• Strengthen staff capacity through continuous on‑the‑job training and other methods.
• Share knowledge and experience with co‑workers to improve their work processes.
• Build and maintain critical relationships with staff, managers, stakeholders and the Bank.
• Ensure Auditee Feedback Form is completed and received after completion of audit fieldwork.
• Open and consider co‑workers’ feedback / ideas to improve work processes and performance.
• Collaborate and assist co‑workers when needed.
• Conduct oneself in a manner that reflects honesty and integrity, and maintains the effectiveness, values and mission of the organization.
• Assist in coordinating work with external auditors / regulators, lenders (due diligence), financial and social performance raters and other departments.
• Contribute to innovation / Process improvement‑automation to improve efficiency and effectiveness of audit.
• Conduct investigation, special audit or other audit as assigned.
• Perform other tasks assigned by supervisor.

Qualifications

Benefits

We offer a competitive remuneration package and opportunities for career and personal development.

How to Apply

Apply : job@wooribank.com.kh

Phone : 087 666 870

Head Office Address : Building #398, Preah Monivong Blvd, Sangkat Boeung Keng Kang I, Boeung Keng Kang, Phnom Penh.

Seniority level

Mid‑Senior level

Employment type

Full‑time

Job function

Legal

Industries

Banking

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