Responsibilities

• Conduct risk-based audit engagements on business line/functional department, financial product/investment related sectors; identify control deficiency/weaknesses / areas of system and business operations for improvements;
• Communicate with the auditee regarding the audit findings and recommendations, follow up on the progress of rectification implementation to ensure prompt and satisfactory completion;
• Assist in preparing audit reports and other work report;
• Conduct routine work, such as confirmations, CCT review, ESG disclosure, etc.;
• Assist on liaising with internal audit/relevant departments of major shareholder, and external auditor; Cooperate with other functional department on internal control related work;
• Handle ad hoc projects assigned by supervisor.

• Bachelor degree in Business and, Accounting, Finance or related disciplines.
• Professional qualification (e.g. CPA(HK), ACCA, CIA or equivalent) is required.
• At least 3 years working experiences in financial industry with audit or internal control related experiences;
• Solid knowledge of auditing and internal control, sounds knowledge of SFC regulations and Listing rules on financial industry;
• Audit experience gained from BIG 4 is preferred;
• Self-motivated, great initiative with strong analytical and critical mind set, able to work independently;
• Good communication and reporting skills;
• Good command of spoken and written English and Chinese (including Mandarin);
• Familiar with PC software (Excel, MS Word).

All information received will be kept in strict confidence and only for recruitment-related purposes.

Shenwan Hongyuan (H.K.) Limited (Stock code: 00218.HK) is the flagship institution of Shenwan Hongyuan Group Co., Ltd. (Stock code: 06806.HK, 000166.SZ) conducting securities business in overseas through Shenwan Hongyuan Securities Co., Ltd. SWHYHK is one of the earliest Chinese securities institutions that developed business in Hong Kong and has been based in the Hong Kong market for more than 25 years.
The Group provides global investing and financing integrated financial services to institutional clients, corporate clients and individual clients in Hong Kong, Mainland China and the world. The Group's business scope covers personal finance, enterprise finance, institutional securities, asset management and securities research. The Group has offices in London, Singapore, Tokyo and Seoul, establishing the global trading as well as investing and financing services network gradually.