關於證券行/銀行的internal auditor

本人有做financial audit背景﹐想問ge係:

1. FI internal auditor會唔會學倒好多FI知識?我意思係一D hedging, derivatives, equity等許多投資工具的 分析方法 同埋 運作模式 。

2. 我了解分工係做咩﹐但係個方法大概係點做?要交咩俾上司?寫report係寫咩野?點樣去做一個internal audit去評估佢個operation或者睇佢有冇compliance? 會唔會有估定standard可以跟住做野﹐好似financial audit咁。 呢條問題主要係想問個工作模式﹐因為本人認為公司做野有一個客觀標準會做得開心d好d。

3. 係team work定係自己做自己野﹐成日都唔出聲?

4. 係咪要成日OT?OT有冇錢?聽講都好夜收工

5. 做 FI internal audit 其實學倒ge野會可唔可以應用倒去其他FI職位上面?可唔可以舉一些例子?定係一做internal audit 都唯有係咁升上去冇得轉其他nature FI 工種?

1 個解答

評分
  • Eve
    Lv 7
    1 十年前
    最愛解答

    I1. No because you will only need a part of the job. There are many people (auditors) without a big證券行/銀行. There will be a department with computerized systems and software to do the job. But you can learn a bit of the 運作模式, but not許多投資工具的 分析方法. as you are not working as an 分析員 or broker.

    2. In such a big comnpany there will be standards you can follow. My friend working in the bank has a boss (manager) to teach her to do the work even excel. But it's very quick. You will have to learn fast by yourself. Of course, in aduting, you must follow the company's standard because they have their own ISO to follow.

    Tips for you: try to be friends with the other workers you work with. Have lunch with them and talk more especially younger girls, they will tell you alot about the

    運作模式 of the company and you can know where their knowledge of work comes from. What kind of courses they take? What education background they have. What books they study their knowledge from. Invite them to eat snacks at tea hours in the office. People will tell you more if they are relaxed.

    3.Auditor is an 自己做自己野﹐成日都唔出聲.=yes. Because you will be looking at the computer all the time. But you will have some chance to talk a bit with other department manager when you are 分析 their department expenses. But really, these people don't spend time with new people. You will be by yourself most time.

    4.I don't think you have to OT except in Tax periods (busy). Usually these banks and financial services will have a system to do the job. Many workers need to go to school in the evening in university. Also, even many boss dislike working for long hours!

    5.I think it's hard to learn other things. But you can promote to be assistant manager , supervisor, and even financial controller (accounting manager). Actually, the company will train you a little bit. So don't be scared! Also, if you want to get another job internally, you can get some jobs in sales, costomer services , but the paid will be lower than internal auditor.

    In this post, try to learn more about compliance with finance/accounting ISO. If you were to be promoted to be manager in the future, you will need to upgrade the standards of the whole company accounting and finance. This is what my friend does when she is now the manager in the bank.

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