Senior Auditor

2 weeks ago

Taguig, Philippines Capital Markets Integrity Corporation Full time

Duties and Responsibilities

  1. Performs the annual risk assessment of the Trading Participants (TPs)

  2. Establishes an audit plan that includes work schedule, time, budget

  3. Develops the audit program for the annual regulatory compliance audit

  4. Directly supervises the conduct of the annual regulatory compliance audit based on the program approved by the Securities and Exchange Commission (SEC)

  5. Leads the kick-off meeting with the TP representative to discuss the overall audit, present the audit authority letters and audit checklists.

  6. Performs detailed review on the work of the Junior Auditors e.g. proper documentation during the conduct of the audit up to archiving

  7. Keeps the Heads of Audit and Compliance Department (ACD) and Regular Examination Unit (REU) fully informed of the progress of the engagement

  8. Ensures that the Company’s administrative policies and requirements are being observed at all times

  9. Identifies and communicates issues and violations to the TP’s Associated Person or Compliance Officer

  10. Prepares/ Reviews official correspondences e.g. Audit Authority Letter, Show Cause Letter, Sanction Letter and Reports on the Result of Regular Audit to be submitted to the SEC.

  11. Schedules and conducts exit conference with the TP’s nominee and Associated Person to discuss audit findings.

  12. Conveys recommendations to the TP’s officers to prevent violation and ensure compliance with the Securities Laws.

  13. Supervises special audit based on the objective, purpose and requirement endorsed by the Investigation and Enforcement Department or Surveillance Department.

  14. Assists the Heads of ACD and REU in the development of standard operating policies and the establishment or amendment of Rules and Regulations.

All CMIC positions work on site at the office at the PSE Tower, BGC.

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