Principal, Risk Advisory & Internal Controls (Pre-IPO)

Moore Stephens Hong Kong; Hong Kong; On-site; HKD 1,800,000 - 2,400,000; Full time

Benefits offered by this job

5‑day work week

Birthday leave

Medical insurance coverage

Job summary

Moore Stephens Hong Kong is seeking a highly technically minded Principal to lead our Risk Advisory practice. You will manage high-stakes internal control reviews for IPO applicants and heavily regulated financial institutions, ensuring compliance with PN 21, HKEX rules, and governance codes.

You will direct AML/CFt and regulatory audits for banks, VASP, and SVF licensees, and shape ESG frameworks while guiding IT security audits (SOC 1/2, ISAE).

Qualifications

• Minimum 10+ years of experience in Risk Advisory or Internal Audit, with a significant tenure at a Big 4 or mid-tier firm.
• Deep expertise in HKMA Supervisory Policy Manuals, SFC Fund Manager Code of Conduct, and HKEX Listing Rules.
• CPA (HKICPA/ACCA/ACA) is required; CAMS/AAMLP, CESGA, or CISA are highly desirable.
• Native or professional fluency in English and Cantonese/Putonghua for board-level presentations.

Responsibilities

• Lead and oversee internal control due diligence for IPO applicants per HKEX PN 21; ensure full compliance and manage reporting accountant duties for VSAs and major acquisitions.
• Direct the financial services advisory team in AML/CFT assessments and regulatory compliance audits for Banks, VASP, and SVF licensees.
• Drive ESG frameworks including climate risk management and green finance disclosures for listed clients.
• Oversee SOC 1/2, ISAE 3402 & 3000 Type 1 & 2 assurance engagements; advise on technology risk management and AI monitoring systems.
• Represent the firm at industry conferences and provide compliance training to senior executives of tier-one financial institutions.

Job description

Moore Stephens Hong Kong is seeking a highly technically minded Principal to lead our Risk Advisory practice. You will manage high-stakes internal control reviews for IPO applicants and heavily regulated financial institutions, ensuring compliance with PN 21, HKEX rules, and governance codes.

You will direct AML/CFt and regulatory audits for banks, VASP, and SVF licensees, and shape ESG frameworks while guiding IT security audits (SOC 1/2, ISAE).