Risk Advisory & Internal Control

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

Reporting to:

Partner / Head of Department

Role Purpose

Due to our firm’s rapid expansion in both the Financial Services and Pre-IPO Advisory sectors, we are seeking a highly technical and commercially minded Principal. This individual will be a key leader in our Risk Advisory practice, responsible for managing high-stakes internal control reviews for both newly listed entities and heavily regulated financial institutions.

Key Responsibilities

• Pre-IPO & Listing Compliance: Lead and oversee internal control due diligence for IPO applicants in accordance with HKEX Practice Note 21 (PN 21). Ensure full compliance with Corporate Governance Codes and manage reporting accountant duties for VSAs and major acquisitions.
• Financial Services & AML Advisory: Direct the financial services advisory team in performing s59(2) special reviews, AML/CFT assessments, and regulatory compliance audits for Banks, VASP (Virtual Asset Service Providers), and SVF licensees.
• Governance & ESG Strategy: Drive the development of Environmental, Social, and Governance (ESG) frameworks, including climate risk management and green finance disclosures for listed clients.
• IT & Systems Assurance: Oversee SOC 1 & 2 / ISAE 3402 & 3000 Type 1 & 2 assurance engagements. Provide strategic guidance on technology risk management and the implementation of AI-enhanced monitoring systems.
• Thought Leadership & Training: Represent the firm as a frequent speaker at industry conferences (e.g., HKCGI, HKICPA) and provide regular compliance training to senior executives of tier-one financial institutions.

Requirements

• Professional Standing: Minimum 10+ years of experience in Risk Advisory or Internal Audit, with a significant tenure at a Big 4 or mid-tier firm.
• Technical Mastery: Deep expertise in HKMA Supervisory Policy Manuals, SFC Fund Manager Code of Conduct, and HKEX Listing Rules.
• Qualifications: Must be a CPA (HKICPA/ACCA/ACA). Additional certifications such as CAMS/AAMLP (AML), CESGA (ESG), or CISA (IT Audit) are highly desirable.
• Client Portfolio: Proven track record managing a diverse portfolio including Banks, Asset Managers, and complex Conglomerates.
• Communication: Native or professional fluency in English and Cantonese/Putonghua is essential for board-level presentations.

Competitive package will be offered to the right candidate(s).

• 5-day work week
• birthday leave
• medical insurance coverage