We provide independent and objective assurance on the reliability of financial information for statutory, management and external capital raising purposes.

We act as statutory auditors and independent accountants to a range of major corporations as well as to smaller growing businesses. Our cross-functional teams specialise in various lines of businesses: consumer markets, financial services, industrial markets, technology etc.

Compliance Auditor Duties and Responsibilities

Oversee and Conduct Audits

Our Compliance Auditor will manage both external and internal audits as necessary. This will include reviewing records, reports, software and any other relevant programs and activities affected by regulations. Following an audit, Our Compliance Auditors will then make recommended changes to procedures or practices that are not in compliance with stated regulations and help to implement a plan to address such changes.

Identify Risks

Being proactive is important for Our Auditors. As part of their responsibilities, Our Compliance Auditors will analyse potential risks within specific areas of a company in order to avoid compliance issues. This might include reviewing risk assessment studies conducted by government agencies and professional organisations to gauge the possible risk potential of the company they are working for.

Maintain Compliance Records

Keeping track of any violations reported against a company and responses and plans regarding these violations are the responsibilities of a Compliance Auditor. Conducting an analysis of existing compliance records and making any necessary updates would also fall under this category. Recording any compliance training by company employees is another aspect of maintaining compliance documents.

Some of the more important auditing procedures include:

  • 1 Inquiring of management and others to gain an understanding of the organisation itself, its operations, financial reporting, and known fraud or error.
  • 2 Evaluating and understanding the internal control system.
  • 3 Performing analytical procedures on expected or unexpected variances in account balances or classes of transactions.
  • 4 Testing documentation supporting account balances or classes of transactions.
  • 5 Observing the physical inventory count.
  • 6 Confirming accounts receivable and other accounts with a third party.
  • 7 Assisting in carrying out quality audit and other assurance services to clients in a specific industry sector.
  • 8 Identify and communicate accounting and auditing matters to managers and partners.
  • 9 Identify performance improvement opportunities.
  • 10 Interact with clients to help ensure that the information flow from the client to the audit team is efficient.
  • 11 Perform and control the full audit cycle including risk management and control management over operations’ effectiveness, financial reliability and compliance with all applicable directives and regulations.
  • 12 Determine internal audit scope and develop annual plans.
  • 13 Obtain, analyse and evaluate accounting documentation, previous reports, data, flowcharts etc.
  • 14 Prepare and present reports that reflect audit’s results and document process.
  • 15 Act as an objective source of independent advice to ensure validity, legality and goal achievement.
  • 16 Identify loopholes and recommend risk aversion measures and cost savings.
  • 17 Maintain open communication with management and audit committee.
  • 18 Document process and prepare audit findings memorandum.
  • 19 Conduct follow up audits to monitor management’s interventions.
  • 20 Engage to continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards .


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