20 16 what are the main responsibilities of the audit post of social recruitment-investment bank and intermediary business in the audit department of China citic bank head office?

Main job responsibilities of investment bank and intermediary business audit post: 1. Collect, summarize and analyze important audit information, major risk events, typical cases and background information of investment banks and intermediary businesses of branches within their jurisdiction, and understand the internal control structure, job responsibilities and risk prevention measures of investment banks and intermediary businesses of the Bank;

2. According to the project arrangement, implement the audit plan in the pre-trial preparation stage, determine the audit scope, carry out off-site audit analysis, select inspection content and sampling, formulate audit methods, prepare audit instructions and audit budgets, and organize pre-audit training or other special training for audit projects;

3. According to the requirements of the audit plan, implement the on-site audit procedure, communicate with the audited entity and record the audit working papers;

4. Write audit reports, audit briefings, audit points, audit topics and other audit documents, prepare relevant schedules, and report audit findings in a timely, true, complete and accurate manner;

5. Review, sort out and report relevant audit project files and other materials;

6. Carry out follow-up audit related work of audit projects in investment banks and intermediary business areas;

7. Sort out the internal control risk points of investment banks and intermediary business areas, and supplement and improve the risk internal control library.