Senior Compliance Auditor

Experience

• At least 4 years’ auditing experience, preferably including Big 4 audit firm IT auditing exposure.
• Exposure to regulatory compliance audits or similar IT and business risk and control-based audits.
• Demonstrated knowledge, understanding and efficient application of basic regulatory and eGAP requirements.
• Demonstrated ability to effectively manage own workload and oversee other audit staff.

• Science or Commerce Degree (NQF Level
  7), or equivalent, if substantiated by valid evidence of competency.
• CISA, CISM, CRISC, CGEIT, COBIT, Cybersecurity (CEH and related technical field) or ISO 27001 credentials advantageous.

• Conduct onsite self-regulatory reviews and reviews for regulated markets at clients and submit subsequent certifications in accordance.
• Draft client proposals from approved templates.
• Conduct remote audits where applicable, with effective use of internet-based conferencing facilities, taking notes and obtaining and documenting relevant evidence.
• Draft reports and certificates for clients within predetermined time frames, including findings of review work.
• Develop and sustain exceptional client relationship management.
• Project management.

• Attend weekly catch-up calls with team to discuss deadlines, future and ongoing projects and correctly assist and/or escalate projects where required.
• Provide assistance to team members and other staff in meeting regulatory and/or client deadlines, as required.
• Provide training, coaching, mentoring and guidance to team members and new joiners.

• Ensure that operational, reputational and security risks are effectively managed through information technology resources (PC’s, network connections, security around the work environment, speed/quality of connections, power outages, etc.).
• Record and upload audit evidence and documentation in compliance with ISO standards.

• Inform clients on the certification process, communicate and plan future certifications in advance to assist clients in maintaining regulatory compliance per market.
• Complete reporting tasks within the predetermined time frames, including:
  • Initial report drafting;
  • Follow up and obtain management comments from clients;
  • Perform follow up review work for resolved findings.
• Ensure completeness and integrity of reports through completed work programs and supporting evidence aligning to findings.
• Discuss and report on key issues, provide clarity and practical examples on the implementation of controls in order to address non-compliance and assist clients in remediation of findings.
• Inform clients on the certification process and communicate and plan future certifications in advance to assist clients in maintaining regulatory compliance per market.
• Effective and efficient follow-up and resolution of review findings and updating of work programs, reports and certificates, where applicable.