Internal Auditor at Westfield Consulting

INDUSTRY: CAPITAL MARKET

JOB DESCRIPTION

• Assist in the investigation and resolution of customer complaints in respect fraud incidents, thefts, conflicts of interests, unethical practices, allegations of frauds and breaches in conformance with documented policies and procedures
• Customer services and stakeholders management
• Risk Assets & Fixed Assets Review.
• Develop periodic reports on investigations and outcomes as may be required by the Head of department
• Ensure that all complaints in respect of fraudulent activities / allegations of corruption/breaches reported through all reporting channels to the department are fully documented and investigated where necessary
• Plan, perform, analyze and report on outcomes of investigations
• Assist in recommending system and process improvements based on the outcome of various investigations conducted
• Provide constant  feedback to internal stakeholders (stakeholders engagement) through the Head of Department on reported incidences which require investigation
• Conduct industry research on current processes or procedures
• Monitoring and review (financial, administrative, staffing, policies, processes and procedures)
• Maintaining a database of concluded investigation reports whose recommendations have been implemented.
• Liaise with internal (Human Resources, Legal, Anti Money Laundering & Compliance, etc.) and external (Law enforcement agencies)
• Participate in various enquiries as required.
• Regular reviews of all operating procedures, controls and policies.
• Risk Assets & Fixed Assets Review.
• Monitor Financial Reporting compliance with relevant State and Federal laws
• Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies
• Customer services, liaisons with External auditors, NSE officials and other regulatory bodies
• Conduct routine investigation when necessary.
• Maintaining a database of concluded investigation reports whose recommendations have been implemented.
• Prepare weekly, monthly and quarterly activities reports for Management

Requirement:

• 3-5 years capital Market Experience (Must be familiar with internal controls in the capital market)
• Proven working experience as Internal Auditor
• Advanced computer skills on MS Office, accounting software and databases
• Ability to manipulate large amounts of data and to compile detailed reports
• Proven knowledge of auditing standards and procedures, laws, rules and regulations
• High attention to detail and excellent analytical skills
• Sound independent judgment
• BS degree in Accounting or Finance