Associate, Internal Audit

Responsibilities:

• Lead internal audit & internal control projects and execute audit assignments independently;
• Participate in the full cycle of internal audit & internal control projects, including planning, sampling, testing and reporting;
• Provide internal control advisory. Support in the development / execution of the comprehensive risk-based audit plan and participate in the annual risk assessment / on-going business monitoring processes;
• Familiarize with key regulations governing the operation of securities businesses;
• Effective communication with business / back office units to understand their operations and identify the key risks, internal controls and audit focus;
• Perform validation of corrective actions for mitigating the risks of audit issues;
• Maintenance of the internal audit system and audit documents;
• Liaison / cooperation with Head Office Internal Audit Department as appropriate;
• Proactively promote within the organization about risks and controls to foster a sound risk understanding culture;
• Perform other job-related duties and ad-hoc special projects as required.

​​​Requirements:

• University graduate in Finance, Accounting or related disciplines;
• An accountant-qualified auditor with relevant securities business internal audit / internal control experience is preferred;
• Professional license – CPA, CIA or other professional related certifications / qualifications;
• At least 3 years of relevant work experience. Preferably with securities firms’ / investment banks’ internal audit & internal control experience or Big Four accounting firm’s financial institutions internal control advisory experience;
• With a good understanding of local regulatory requirements for securities companies;
• Experience in internal audit data analytics, audit systems and Information Technology audit is a plus;
• Proficiency in MS Word, Excel, PowerPoint & Outlook;
• Good command of English, Mandarin and Cantonese;
• Strong verbal and written communication skills;
• Ability to work independently and as a team player;
• Good analytical skills and be able to work under pressure and tight deadline;
• Demonstrates ability to multi-task and set priorities.