Senior Auditor, Compliance Audit

ការពិពណ៌នាការងារ

. Perform preliminary audit analysis
– Conduct preliminary audit analyses for macro-processes by identifying the risks per macro-process to ensure that significant compliance
risks and management concerns are assessed, and audit activities are initiated to meet the risks, scope and objectives.

. Perform audit testing
– Execute the compliance audit program of audit mission based on selected samples and transactions, clients, and other samples by macro
process under support of Supervisor/Unit Manager in order to ensure internal control design and implementation are effectively assessed
and that the audit objectives are met;
– Review relevant regulations, policies, procedures, and perform audit testing on key and complex compliance transactions, such as reports,
analyses, and documents in order to evaluate the quality of internal control design and implementation by macro process;
– Prepare working papers during the execution of the compliance audit program to ensure proper documentation and sufficient appropriate
evidence to make a proper appraisal of internal control integration and implementation;
– Assist supervisor in reviewing audit working papers and evidence prepared by compliance auditors under supervision of the assigned audit
missions to ensure completeness of audit findings, root cause analyses, implications and recommendations;
– Prepare a briefing audit report under assigned processes to ensure completeness of audit findings, root cause analysis, implications and
recommendations, and ensure clear understanding of detailed audit findings.

. Develop others
– Provide on-the-job training to new compliance auditors to comply with audit methodologies, procedures and programs.