Legg Mason

  • Internal Auditor (10hrs/week)

    Job Locations TW-Taipei
    Req. #
    2018-2965
    Division
    Compliance
    Position Type
    Regular
  • Position Overview

    Legg Mason is seeking a part-time Internal Auditor to join our team! Reporting to the Compliance Manager located in Taiwan, you will be responsible for performing the internal audits of the company’s Taiwan operations to ensure compliance with relevant laws, regulations and requirements. 

     

    This position allows ultimate flexibility as you decide when you would like to work, up to 10hrs per week.

    Key Responsibilities:

    • Register as the Internal Auditor of LMIT and employed by LMIT only
    • Design and implement Internal Audit Program
    • Perform Internal Audit field work and prepare workpapers quarterly
    • Design and perform AML independent testing
    • Issue the Internal Audit Report (including AML audit report) to the Board
    • File regulatory IA report with SITCA/Regulator
    • Compile/Advise a Corrective Action Plan and follow-up
    • Perform Internal Audit review of fund filing document
    • Assist senior management in designing and updating the internal control procedures report to the Board
    • Assist with any SITCA or regulatory inspections or inquiries related to Internal Audit work
    • Provide Internal Audit training to LMIT employees
    • Complete required regulatory training

    Qualifications:

    • Complete required regulatory training
    • Degree in Accountancy, Banking, Finance or related field
    • At least 2-3 years relevant experience in the financial services industry, preferably in asset management.
    • Possesses qualifications for the Internal Auditor role (i.e., has a license for Securities Investment Trust and Consulting Professionals or Senior Securities Specialist with two years of experience in a SITE and SICE or security firms).
    • Fluency in English is essential.
    • Experience in dealing with the SFB (Preferred)
    • Good interpersonal skills and articulate communication skills
    • Willingness to use initiative and ability to work independently

    Company Overview

    Legg Mason is a leading global asset management firm that offers rewarding career opportunities for individuals who share our core values: integrity, collaboration, passion for results, empowerment, and a commitment to our profession. We have a presence in every major financial center across the globe, and we look for exceptional professionals who want to shape a rewarding career through intellectual curiosity, leadership, and team-oriented approach. If you are passionate about the investment business and about building your future with one of the industry's premier firms, consider the opportunities at Legg Mason today.

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