Posted as of: Wednesday, April 5, 2023
Status: Archived
Company: CAPITAL MARKETS INTERGITY CORPORATION
Number of available position(s): 1
Description: Description: The Junior Auditor directly supervises the conduct of the annual regulatory auditto assess the compliance of Trading Participants (TPs) with the requirements of the Securities Laws.All work and deliverables are subject to the Standard Review and Approval Process of the Company.
Description: The Junior Auditor directly supervises the conduct of the annual regulatory auditto assess the compliance of Trading Participants (TPs) with the requirements of the Securities Laws.All work and deliverables are subject to the Standard Review and Approval Process of the Company.
Duties and Responsibilities: 1.Assists in the risk assessment of the TPs and in the establishment of the audit plan e.g. formulation of audit program and procedures for regular compliance audit.2.Conducts regulatory compliance audit based on the audit program approved by the Securities and Exchange Commission (SEC)a.Keeps the Senior Auditor and/or the Head of ACD fully informed of the progress on assignments and conforms to the Company’s administrative policies and requirements and those of Trading Participants as applicable.b.Documents audit procedures performedc.Archives audit working papersd.Identifies and communicates issues and violations to the Trading Participant’s associated person or compliance officer.e.Prepares official correspondence e.g. Audit Authority Letter, Show Cause Letter, Sanction Letter and Reports on the Result of Regular Audit to be submitted to the SEC.f.Assists the Senior Auditor and/ or Head of ACD during exit conference with the Trading Participant’s nominee and Associated Person.g.Conveys recommendations to the Trading Participant’s officers to prevent violation and comply with the Securities Laws.3.Monitors reports submitted by the Trading Participants such as Quarterly Compliance Report, Movement of PSE Shares, SEC Form 30.1, Internal/ Accredited Training Reports, List of Directors, Officers, Agents and Employees, and Employee Movement.4.Conducts special audit based on the objective, purpose and requirement endorsed by Investigation and Enforcement Department or Surveillance Department.5.Assists the Senior Auditor/ Head of ACD in the development of standard operating policies and the establishment or amendment of Rules and Regulations.6.Conducts periodic review of RBCA reports submitted by the TPs and assists in the preparation of Monthly Reports related to RBCA review.7.Assists the Senior Auditor/ Head of ACD with the Failed TPs including the update and monitoring of the books and facilitation of disbursements of claims and requests for stock transfers.
1.Assists in the risk assessment of the TPs and in the establishment of the audit plan e.g. formulation of audit program and procedures for regular compliance audit.2.Conducts regulatory compliance audit based on the audit program approved by the Securities and Exchange Commission (SEC)a.Keeps the Senior Auditor and/or the Head of ACD fully informed of the progress on assignments and conforms to the Company’s administrative policies and requirements and those of Trading Participants as applicable.b.Documents audit procedures performedc.Archives audit working papersd.Identifies and communicates issues and violations to the Trading Participant’s associated person or compliance officer.e.Prepares official correspondence e.g. Audit Authority Letter, Show Cause Letter, Sanction Letter and Reports on the Result of Regular Audit to be submitted to the SEC.f.Assists the Senior Auditor and/ or Head of ACD during exit conference with the Trading Participant’s nominee and Associated Person.g.Conveys recommendations to the Trading Participant’s officers to prevent violation and comply with the Securities Laws.3.Monitors reports submitted by the Trading Participants such as Quarterly Compliance Report, Movement of PSE Shares, SEC Form 30.1, Internal/ Accredited Training Reports, List of Directors, Officers, Agents and Employees, and Employee Movement.4.Conducts special audit based on the objective, purpose and requirement endorsed by Investigation and Enforcement Department or Surveillance Department.5.Assists the Senior Auditor/ Head of ACD in the development of standard operating policies and the establishment or amendment of Rules and Regulations.6.Conducts periodic review of RBCA reports submitted by the TPs and assists in the preparation of Monthly Reports related to RBCA review.7.Assists the Senior Auditor/ Head of ACD with the Failed TPs including the update and monitoring of the books and facilitation of disbursements of claims and requests for stock transfers.
Qualifications: Education: Must be a Certified Public AccountantExperience: Audit experience is a plus. Skills: Attention to Details; Project Management; Oral and Written Communication; Time Management
Education: Must be a Certified Public AccountantExperience: Audit experience is a plus. Skills: Attention to Details; Project Management; Oral and Written Communication; Time Management
Requirements:
Skills: (Not indicated)
Work Location: 10/F Philippine Stock Exchange Tower, 5th Avenue cor. 28th St., Bonifacio Global City, Taguig
Interested to apply? Send your application letter and CV to:
Contact Person (Undisclosed)
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