Principal, Risk Advisory — Internal Controls & Compliance

Leadingnation; Hong Kong; On-site; HKD 1,500,000 - 2,700,000; Full time

Job summary

Leadingnation in Hong Kong seeks a technically adept Principal to lead risk advisory for listed clients. You will manage high-stakes internal control reviews for IPO applicants and regulated banks, guiding governance and reporting responsibilities under PN 21 and HKEX Listing Rules.

You will head Financial Services and AML advisory, oversee s59(2) reviews, AML/CFT assessments, and audits for Banks, VASP, and SVF licensees, while shaping ESG frameworks and climate disclosures for listed entities.

Qualifications

• Over 10+ years of experience in Risk Advisory or Internal Audit at a Big 4 or mid-tier firm.
• Deep knowledge of HKMA Supervisory Policy Manuals, SFC Code, and HKEX Listing Rules.
• CPA (HKICPA/ACCA/ACA); AML/CAMS/AAMLP or ESG/CISA desirable.
• Proven track record managing a diverse client portfolio including Banks and Asset Managers.
• Excellent English and Cantonese/Putonghua for board-level presentations.

Responsibilities

• Pre-IPO & Listing Compliance: lead internal control due diligence for IPO applicants per PN 21; ensure governance and reporting accountant duties.
• Financial Services & AML Advisory: oversee AML/CFT assessments and regulatory audits for Banks, VASP, and SVF licensees.
• Governance & ESG Strategy: develop ESG frameworks and climate risk disclosures for listed clients.
• IT & Systems Assurance: oversee SOC 1/2 and ISAE engagements; guide technology risk management and AI monitoring.
• Thought Leadership & Training: represent the firm at conferences and train senior executives in compliance.

Skills

Risk Advisory

Internal Audit

Regulatory Compliance

Leadership

Communication

Education

CPA Certification

Tools

HKMA Supervisory Policy Manuals

HKEX Listing Rules

SFC Fund Manager Code of Conduct

Job description

Leadingnation in Hong Kong seeks a technically adept Principal to lead risk advisory for listed clients. You will manage high-stakes internal control reviews for IPO applicants and regulated banks, guiding governance and reporting responsibilities under PN 21 and HKEX Listing Rules.

You will head Financial Services and AML advisory, oversee s59(2) reviews, AML/CFT assessments, and audits for Banks, VASP, and SVF licensees, while shaping ESG frameworks and climate disclosures for listed entities.