Internal Audit Director, Governance and Enterprise Risks
Scotiabank
San Isidro, Lima
hace 3 días

Hola! Felicitamos y valoramos tu interés por seguir creciendo dentro del Grupo Scotiabank, nos encontramos en búsqueda de talento que aporte con sus conocimientos y experiencia a la posición y sobre todo con OPTIMISMO.

Purpose

The Executive Director and Deputy Chief Auditor, Peru oversees and leads a team of auditors responsible for all internal audit activities in their international scope (as defined in the dimensions’ section) in support of the Audit Department in executing its global mandate.

The key areas of focus are determining whether internal controls, risk management and governance processes are adequately designed, implemented and operating effectively.

Responsibilities include annual planning and risk assessment, oversight of audit execution and reporting, fulfillment of annual plan, internal client relationship management, consultation and subject matter expertise, external relationship management with regulators and external auditors, execution of special projects and investigations and team leadership and includes all regulatory responsibilities related to a Deputy Chief Auditor for their defined scope.

The Peru Executive Director and Deputy Chief Auditor is a key member of the global Audit Management.

What challenges will you face?

1.- Support the Annual Planning & Risk Assessment Process :

  • Support the supervision and preparing the detailed risk assessment and Annual Audit plan for their area of scope, for presentation to BNS Audit, the local Audit Committees and the respective regulators.
  • Supervising the definition of the auditable universe and detailed risk assessment of each auditable process across designated entities.
  • Developing and implementing a flexible annual audit strategy using the risk bases methodology defined by Professional practices and reviewing the strategy quarterly for re-evaluation.
  • Validating the business line audit plans throughout the year, by monitoring activities and identifying other areas of emerging risk for audit coverage consideration.
  • Identifying strategic changes planned / undertaken, by reviewing the Country’s strategic business plan, that will affect the Audit Plan;
  • ensuring appropriate audit coverage is included.

  • Continuously conducting risk assessments and developing audit plans to effectively address higher risk areas.
  • Supervising and providing direction to Officer in Charge / Director in establishing work plans-goals, project schedules, staffing plans, budget, activity reports.
  • Working closely with other Audit VPs and Chief Auditors to ensure audit efforts are integrated (both internally and externally) with appropriate coverage;
  • making sure audit teams are staffed with subject matter experts to provide appropriate coverage where the subject of the audit is specialized and technical.

  • Remaining up to date on internal, industry and regulatory related events, developments and activities that may impact the focus of the Audit fuction and Audit Plan.
  • Ensuring mandatory regulatory audit work is completed as required.
  • Developing annual objectives for their audit teams based on the above.
  • 2.- Audit Performance / Execution :

  • Supervising the planning of audits, ensuring the scope and extent of work is in accordance with approved plan and resources assigned and scheduling are appropriate.
  • Directing the execution of the Audit plan.
  • Supervising and participating in Regional audits.
  • Ensuring audit methodology is used, objectives are met, audit plan is completed, appropriate working papers are maintained and conform to Department Standards, incorporating best practices.
  • Ensuring that all employees understand and comply with the Bank’s Guidelines for Business Conduct and that they are meeting Audit Department standards and maintaining objectivity and independence in executing audit activities.
  • Periodically evaluating the audit plan to ensure that latest industry standards / developments and regulatory requirements are incorporated, to keep it current and robust.
  • Supervising the preparation of audit reports and reviewing the reports for presentation to line management.
  • Ensuring internal control weaknesses and root causes have been identified, properly defined, documented and reported; ensuring that the issue is understood by management and that corrective action will be taken;
  • escalating to senior Management when necessary.

  • Ensuring that reports area presented in a fair and balanced manner that will allow for proper evaluation by Scotiabank Group management, Audit Committees and all other interested parties (i.
  • e. external auditors and regulators).

  • Ensuring systemic issues are identified and control and process design recommendations are reported to management.
  • Completing on-site review of assignments as required. Providing constructive qualitative feedback on matters requiring further investigation.
  • Managing the timely follow up (minimum quarterly basis) and resolution of key risk issues, with reporting to management and the respective Audit Committees as applicable.
  • Escalating significant / long standing issues to senior management as appropriate.
  • Preparing quarterly Audit reporting for local Audit Committee(s).
  • Providing input into the preparation of the Quarterly Audit Department Reports for review by the EVP & Chief Auditor and the Bank’s Audit Committee.
  • 3.- Internal / External Communication :

  • Maintaining effective internal communication across the Audit Departments within scope and with EO Audit, by way of continuous acquiring and sharing of relevant information.
  • Using internal and external relationships to continuously assess emerging risks new products, businesses, environmental changes, regulatory changes, etc.
  • Maintaining effective lines of communication with auditees and Executive management, Audit Committee(s) and Boards of Directors, including appropriate handling of conflicts and issue resolution.
  • Where audit issues are identified, acting as a change agent to influence multiple stakeholders and working with management on appropriate corrective action;
  • following up to ensure timely corrective action is taken.

  • Maintaining effective communication with senior management to ensure the Audit and Security & Investigation teams are providing an adequate level of support to management and that management in the business are supporting the Audit function.
  • Developing and maintaining key external relationships with regulators and external auditors.
  • Participating in regular meetings with regulators.
  • Making internal and external presentations as required.
  • 4.- Human Resources :

  • Effectively leading and motivating a team of auditors
  • Leading efforts to attract, develop and retain talent; working with other VPs and Chief Auditors to execute the department’s People Strategy.
  • Creating a work environment that promotes teamwork, cooperation and respectful working relationships among team members.
  • Managing the development of staff by direction and coaching; imparting specialized skills through peer discussion, coaching and performance management.
  • Creating an environment of continuous improvement by sharing best practices and by ensuring that adequate traning is available to all employees.
  • Effectively communicating and cascading the Audit Department Strategy and objectives.
  • Ensuring that annual goals and objectives are establishing career development and training plans and monitoring for progress.
  • 5.- Other Professional Duties :

  • Managing special projects and investigations as directed by senior management.
  • Assisting in due diligence of potential acquisitions.
  • Providing control advisory services to business management and providing value-added consulting services, reviewing / signing of on changes to policies;
  • participating in working groups in an advisory capacity.

  • Taking a leadership role in directing the ongoing evolution and continuous improvement of the Audit Department practices (i.
  • e.risk assessment, development of audit tools, etc).

  • Continuing self development to expand or maintain an understanding of the business key processes and business applications.
  • Serving as a member of the senior management team at entities within scope, participating in senior management meetings and other events.
  • Maintaining contact with industry colleagues from professional audit organizations and other firms.
  • Ensuring a process exists to remain abreast of changes to laws, regulations, professional standards and the business environment that could affect the Bank’s risk profile.
  • Planning and operating within an annual expense budget.
  • Ensure that the business plan can comply with the available capital, monitoring the compliance with the credit, market, liquidity, operational, reputational, environmental and strategic risk appetite framework defined for all Bank’s Units.
  • Knowing and understanding of the policies, procedures and limits that ensure a strong risk culture.

    What do we expect from you?

  • Professional accounting or similar risk based designation with at least 7-10 years post-qualification with exposure to financial institutions, preferably Banks.
  • Working knowledge of banking and the financial services industry, including the financial reporting processes.
  • Thorough knowledge of regulatory requirements within areas / geographies of scope.
  • Highly proficient at applying risk-based auditing standards, practices, techniques, processes and methodologies to the performance and review of audits.
  • Working knowledge of accounting standards, practices and techniques.
  • Working knowledge of the operations and regulatory environments of each of designated audit units.
  • Highly skilled at analysis and problems solving, including being able to develop constructive and practical solutions on a timely basis.
  • Highly developed interpersonal and communication skills (verbal and written) to work with staff and management at various levels.
  • Advanced english and spanish level.
  • Thorough knowledge of the Bank’s and designated entities’ organizational structure, business practices, culture, etc.
  • En Scotiabank estamos interesad s en promover tu desarrollo profesional dentro de un ambiente de equidad, diversidad e inclusión.

    Tu postulación contribuye a la identificación del talento, gracias por participar en esta convocatoria!

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    Agradecemos mucho tu comprensión y colaboración.

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