Internal Audit & Compliance
- Develop and implement annual risk-based internal audit plans.
- Conduct operational, financial, and compliance audits across business functions.
- Evaluate the effectiveness of internal controls, risk management, and governance processes.
- Identify control weaknesses and recommend practical improvements.
- Prepare audit reports and present findings to Management and the Board of Directors.
- Monitor implementation of corrective action plans and follow up on audit findings.
- Perform special investigations and fraud reviews when required.
- Ensure the company's operations comply with applicable regulations, internal policies, and industry standards.
- Review internal policies and procedures to ensure regulatory compliance.
- Monitor compliance risks and recommend mitigation strategies.
Governance & Risk
- Assist in developing Internal Control Framework.
- Support Enterprise Risk Management (ERM) initiatives.
- Promote good corporate governance practices throughout the organization.
Requirements
- Education: Bachelor's Degree in Accounting, Finance, Business Administration, or related field.
- Experience: Minimum 5 years of experience in Internal Audit, Risk Management, Compliance, or External Audit.
- Experience in Financial Services, Securities, Futures Brokerage, Banking, FinTech, or Capital Market industry is highly preferred.
- Experience in establishing Internal Audit/SPI function from scratch is an advantage.
- Certified Qualified Internal Auditor (QIA) issued through YPIA / DS-QIA.
- Familiar with International Professional Practices Framework (IPPF) and risk-based auditing.
Preferred Certifications (Advantage)
- CIA (Certified Internal Auditor)
- CISA
- CRMA
- CPA
- CFE
