Capital Markets Auditor

  • Sector: LMA Asia Legal & Compliance
  • Contact: Fong Chua
  • Client: LMA
  • Location: Singapore
  • Salary: Negotiable
  • Expiry Date: 01 December 2022
  • Job Ref: BBBH397290_1667275259

Capital Markets Auditor

Position Purpose

  • To conduct audit work in accordance with the IG methodology and ensure high standard of deliverables
  • To contribute to risk assessment of audit units based on knowledge obtained through assignments as well as day-to-day contact with auditees
  • To follow through with auditee on implementation of recommendations


Direct Responsibilities

  • Participate in the audit team assignments and special reviews (when required by regulators, business lines, or senior management)
    • Contribute to the planning and preparation of the assignment e.g. understanding the methodology to be applied, acquiring a high level knowledge of the activities to be covered, gathering relevant key figures, etc.
    • Develop a thorough understanding of the activities within the scope of the assignment, its strategy and governance, and the related risks.
    • Evaluate the overall setup and identify the main areas of risk (including a comprehensive assessment of the management actions).
    • Recommend appropriate actions to the management in order to remediate the identified weaknesses.
    • Formalize the results of the assignment investigations and contribute to the production of the assignment deliverables.
    • Present the conclusions of the assignment fieldwork to the senior management.

  • Review the implementation of the Inspection Générale recommendations
    • Review and challenge the actions defined to remediate the weaknesses identified by the audit team through its assignments.

  • Contribute to the periodic risk assessment of Capital Markets activities and planning
    • Perform a periodic and comprehensive risk assessment of the Capital Markets activities as per the Group guidelines.
    • Keep abreast of change/new development of regulatory requirements that are relevant to Capital Markets activities and related functions.
    • Assist in the elaboration of the Capital Markets Inspection planning following a riskbased approach.

  • Participate in the Markets and Models audit line events
    • Attend the Markets and Models community event organized annually at the head office level.

  • Contributing Responsibilities
    • Contribute to the improvement of the Inspection Générale practices through the elaboration and update of our methodologies.

  • Technical and Behavioral Competencies required
    • Strong technical background in Capital Markets activities.
    • Outstanding analytical skills.
    • Curiosity, rigor, and precision.
    • Ability to synthesize.
    • Excellent writing and presentation skills (in English).
    • High level of initiative, commitment, and drive.
    • Ability to work effectively under pressure and within short deadlines.
    • Promotes a constructive, cooperative, and participative teamwork environment

Specific Qualifications (if required)

  • Master degree in relevant areas (Banking, Capital Markets, engineering, applied mathematics, etc.).
  • An experience of 3-5 years in Capital Markets activities and/or related support or control functions (prior audit experiences are considered but are not specifically required).

Company Reg No.: 201131609D, Licence No.: 11C4684, Reg No: R1221146