Internal Audit
JOB SUMMARY
The Internal Auditor supports the Internal Audit function, which reports functionally to the Audit & Risk Committee
(ARC), and works closely with the Senior Risk Manager and other stakeholders to deliver risk-based internal audit
activities and independent assurance.
This position involves supporting internal audit projects executed with external partners (e.g., PwC/KPMG) and
performing operational compliance/assurance reviews to assess adherence to regulatory requirements, internal
policies, and internal control standards.
Key Responsibilities
- Support Internal Audit Projects with External Partners (40%):
- Support coordination of audit schedules, status tracking, and communications between internal stakeholders
and external auditors (PwC/KPMG, etc.). - Assist in preparing audit documentation, including walkthrough notes, process maps, risk/control matrices,
and audit working papers. - Support annual audit planning activities by contributing to risk assessments, collecting inputs, and
maintaining the audit universe / audit plan documentation (as assigned). - Support documentation and data requests: gather, organize, and quality-check evidence provided to external
auditors. - Assist in reviewing draft audit findings and recommendations; help consolidate management responses and
action plans. - Track remediation actions, follow up with action owners, and support validation of closure evidence.
- Perform other duties as assigned.
2. Operational Compliance/Assurance Review (60%):
- Perform walkthroughs and testing to assess compliance with regulatory requirements, internal policies,
- internal controls, and relevant industry practices.
- Evaluate control design and operating effectiveness in key operational processes (e.g., asset management
operations, investment services processes, vendor/outsourcing oversight, data/IT-related controls where
applicable). - Identify control gaps, process inefficiencies, and potential non-compliance issues, draft observations and
practical improvement recommendations for review. - Support ad-hoc reviews requested by management/Board by documenting processes, identifying key
controls, and assisting in assessing control adequacy against objectives. - Work closely with the Senior Risk Manager to support independent assurance activities over ERM artefacts
(Risk Profile/Heatmap/KRIs/Incident Log/Dashboards) through evidenc
Requirements/Qualifications
- Bachelor’s degree in accounting, finance, or a related field.
- Auditing or Accounting Professional certification issued by Vietnamese authorities or international
organisations/associations, such as CPA or ACCA/CA/ACA; and - Relevant professional certifications/licenses in the asset management business, such as Vietnamese
securities practicing licenses; certificate on basic matters of securities and securities market and certificate
on law on securities and securities market; CFA (level II); CIIA (final level); asset management practicing
certificate issued by a member of OECD. - 1-3 years of experience in internal audit, external audit, risk, compliance, or operations within financial
services/asset management. - Good analytical skills, ability to understand end-to-end processes, identify control gaps, and propose
practical actions. - Strong attention to detail and documentation discipline (working papers, evidence management, action
tracking). Ability to prioritize tasks, manage deadlines, and work effectively in a dynamic environment. - Integrity, professionalism, and commitment to confidentiality and independence consistent with internal
audit principles.
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