Responsibilities:

• Carry out audit to access the effectiveness of the internal controls and compliance frameworks on various business activities and initiatives
• Provide advice on internal controls and procedures and enhance audit process and proficiency through implementing audit standards, methodologies, and techniques
• Oversee the internal and external audit processes and liaise with external auditors and relevant regulatory authorities
• Prepare and develop for annual audit plan
• Handle ad hoc projects as required 

Requirement Qualification:

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 3 years of relevant experience in brokerage firms or financial institutions, with IT audit experience is an advantage
• Good understanding of SFC codes and regulatory requirements of securities brokerage and fund distribution
• Qualification of Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) Certified Information Systems Security Professional (CISSP) is a plus
• Responsible, hardworking and well-organized
• A team player with strong communication and analytical skills as well as high degree of professional maturity
• Able to work independently
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus