Assistant Vice President, Internal Audit

Responsibilities:

• Responsible for internal audit functions to meet the requirements of parent companies and local regulators
• Understand firm's various businesses and to become fully knowledgeable on the day-to-day activities of products and processes
• Primary focus is to develop and execute audit plan on a day-to-day basis to ensure all assignments are completed within timeline
• Prepare audit reports for management to report control weaknesses, operational inefficiency and recommendation for remedial actions
• Review and ensure compliance with established policies, procedures and laws and regulations
• Provide advisory services independently to departments
• Perform special investigations or participate in ad-hoc projects
• Follow up outstanding audit findings and issues raised by external auditors, regulators, exchanges, senior managements, etc. and status of remediation plan with the responsible stakeholders
• Assist and coordinate inspection and enquiries of the Regional Audit to assist them to perform duties
• Act as liaison person for the outsourced internal audit function of the Company

Requirements:

• Degree holder in Accountancy, Finance or related disciplines, qualified with professional bodies are preferred
• Minimum 5 years' internal / external audit experience in securities and futures business, with a good understanding of audit methodology and risk based approach, and preferably with IT audit experience
• Solid audit background with proficiency in auditing techniques, operation controls and regulatory requirements in securities and futures industry
• Good interpersonal skills and ability to communicate effectively with auditors and management
• Be able to work independently and require little supervision
• Good written and oral communication in English, and preferably Chinese to liaise with Chinese associates.