Vice President â?? Investigation - Malaysia, Kuala Lumpur - GatedTalent - Connecting Top Executive Search Firms And Executives

Description

• Identify regulatory audits and critical areas to be reviewed and prepare the 3-years strategic plan and annual audit plan to enable efficient and effective use of audit resources, as well as compliance to regulatory requirements.
• Implement the annual audit plan, as approved, including as appropriate any special tasks or projects requested by the BAC / regulator / CIA.
• Supervise Regulatory auditor(s) by reviewing audit documentations, observations / findings, root cause, risk / implication and recommendations. Ensure coverage of relevant regulatory requirements and recommend improvements to Bank policies, procedures and practices.
• Ensure timely reporting of findings, root cause, risk and recommendations for auditeeâs response and finalisation of report for submission to BAC.
• Finalize the draft audit report and submit the same for CIAâs concurrences.
• Supervise follow-up with auditees on outstanding audit findings through the issuance of Audit Tracking Report.
• Compile the status of all the audits finding raised by the respective Departments and prepare the relevant data analysis on a monthly and / or periodic basis for submission for the CEO deck and EXCO updates.
• Ensure completion of relevant regulatory audits and submit the finalised audit report, to the relevant Regulators within the timeline set by the Regulator.
• Timely response to the Regulators queries on the Regulatory Audits conducted.
• Give on the job training to Regulatory auditor(s).
• Carry out any other appropriate duties as deemed fit by the Management from time to time.
• Assure the achievement of the Departmentâs key result area and strategic initiatives.
• Act as the responsible personnel to ensure compliance on the application of the internal programs and procedures within the department, including proper maintenance of records and reporting of any suspicious transaction (if any).
• Prepare and / or review and submit relevant Departmentâs periodic Regulatory Submission to Regulators.
• As the Divisionâs Risk and Safety coordinator, prepare and complete, amongst others, the Divisionâs Business Impact Analysis (BIA), Risk Assessment (RA), Business Continuity Plan (BCP) and Risk and Control Self Assessment (RCSA), on a periodic basis.
• Responsible to investigate subject matter independently or with ad hoc assembled team (if required).
• Highlight any internal control weaknesses, process and procedures flaws, inefficiencies and non-compliances for the investigation conducted.
• Provide recommendations/suggestion to enhance or improve the existing workflow of the Bank.
• Participate in the investigation discussion and interview with the relevant persons and authority.
• Work closely with Chief Internal Auditor on the finalisation of investigation report for submission to BAC.
• Ensure completeness of working papers with all relevant risk areas is covered in the assignments and issues raised are logical and valid.
  
  

• Bachelorâs degree in Accounting, Auditing, Finance, Banking or any related discipline.
• Possess a minimum of 10 years broad audit and investigation experience (including a minimum of 3 years leadership experience in managing a department).
• In-depth understanding of audits and investigations gained by performing complex audits and investigations, conducted independently end to end, including reporting and presentation findings to Senior Management.
• Lead and manage multiple audits assignments and investigations simultaneously.
• Well verse on investigation processes and procedures, including conducting investigative interviews and attending internal disciplinary hearings / domestic inquiries.
• In-depth knowledge of the regulatory requirements for banking institutions.
• Well verse in the Divisions periodic regulatory reporting to regulators.
• Knowledge and experience in liaising and handling law enforcement agencies for investigation conducted.
• Excellent report writing skills.
• Excellent command of the English language, both written and orally.