Senior Associate, Regulatory Compliance (Audit)

Job Description

You will be part of IQ-EQ Regulatory Compliance’s Internal Audit and Project team, responsible for conducting internal audit engagements for clients (focusing on capital market services license holder

Tasks include :

• Obtain an understanding of the asset management and broader financial services industry and applicable regulatory requirements as well as industry best practices
• Appreciate risks associated with the clients’ business, internal controls and internal audit scope
• Execute audit fieldwork by performing design and operating effectiveness assessment, to identify and discuss potential gaps and enhancements
• Liaise and correspond with clients directly throughout the internal audit cycle
• Prepare audit follow-up information requests, and draft audit findings as well as internal audit report
• Participate in relevant company or industry initiatives and thought leadership
• Other ad-hoc support as assigned