Associate-Vice President, Internal Audit

Shenwan Hongyuan Securities (H.K.) Limited; Hong Kong; On-site; HKD 900,000 - 1,400,000; Full time

Benefits offered by this job

5-day week

Job summary

Shenwan Hongyuan Securities (H.K.) Limited is seeking an Associate-Vice President in Internal Audit to lead or participate in audit engagements, from planning to reporting. The role emphasizes identifying control deficiencies, providing remediation suggestions, and following up on actions.

You will prepare reports for management and the Audit Committee and collaborate with external auditors and other departments on control matters.

Qualifications

• Minimum 2 years in financial services, internal audit or internal control.
• BIG 4 background preferred.
• Good command of English and Chinese.

Responsibilities

• Lead or participate in audit engagements, including planning, risk assessment, fieldwork and report drafting.
• Identify deficiencies in internal control design and operating effectiveness, and provide remediation recommendations.
• Follow up and validate remediation of audit findings in a timely manner.
• Prepare internal audit reports for management and the Audit Committee.
• Liaise with external auditors and collaborate with relevant departments on control matters.
• Review and optimize the department's policies, procedures, and guidelines.
• Undertake ad hoc projects as required.

Skills

Internal audit experience

Regulatory knowledge HK/SFC/HKEX

Bilingual English/Chinese

Analytical mindset

Education

Accounting/Finance degree

CPA/ACCA/CIA

Job description

Associate-Vice President, Internal Audit

Lead or participate in audit engagements, including audit planning, risk assessment, fieldwork execution, and report drafting;

Identify deficiencies in internal control design and operating effectiveness, and provide value-added recommendations;

Follow up and validate on the remediation of audit findings in an effective and timely manner;

Support the preparation of internal audit reports for presentation to management and the Audit Committee;

Assist in liaising with external auditor, and collaborate with other relevant departments on internal control related matters;

Review and optimize the department's policies, procedures, and operational guidelines;

Undertake ad hoc projects and assignments as required.

Requirements

Degree holder in Accounting, Finance, or related disciplines;

Professional qualification (e.g., CPA, ACCA, CIA, or equivalent) is required;

Minimum 2 years' working experience in the financial services industry, focusing on internal audit or internal control, BIG 4 background is preferred;

Sound knowledge of SFC regulations and HKEX Listing Rules;

Self-motivated with a strong sense of responsibility and ethics, good analytical and critical mindset, able to work independently;

Good command of both spoken and written English and Chinese.

We offer attractive remuneration package and fringe benefits including 5-day week to the right candidate.