Associate / Assistant Vice President, Business Audit

Company Introduction: We’re home to Asia's most dynamic and vibrant capital markets. Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day. HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all." Job Summary: Group Internal Audit (GIA) supports the HKEX Group in achieving its business objectives, safeguarding its assets and reputation, and enhancing its control culture awareness through the provision of objective, independent and insightful assurance to the Board and senior management. GIA reports directly to the HKEX Audit Committee and administratively to the Group Chief Executive Officer. The Senior Auditor, Business Audit, is responsible for performing high-quality business audits for the Group in accordance with GIA’s audit methodology, and supporting and contributing to departmental initiatives. The role reports to the Head of Business Audit. Job Duties: Independently conduct risk-based audits. Support the entire audit life cycle through conducting walkthrough meetings, performing control testing and preparing write-ups for audit issues and reports. Identify and escalate potential audit issues and root causes to the Auditor-in-Charge and GIA management for resolution. Contribute to the continuous risk monitoring and assessment of business operations to identify emerging/ high-risk areas for coverage. Provide advice and insights to stakeholders to improve the Group’s control environment. Develop a strong understanding of the Group’s strategy, products, risk management processes and operating platforms. Stay current with industry developments and business trends. Conduct research on industry and risk-related topics to increase effectiveness of audit coverage and GIA’s ability to add value to the Group. Validate the remediation of audit issues in an effective and timely manner. Participate and contribute to departmental initiatives such as continuous improvement of GIA’s audit methodology. Support the preparation of materials for senior management, Audit Committee and regulators. Job Requirements: At least 5 years of experience in internal or external audit, risk management, or compliance, preferably with professional firms or financial institutions. Other relevant expertise will also be considered. Candidates with more experience will be considered for the Audit Manager role. A university graduate in relevant disciplines (e.g. Accounting, Finance, Business Administration, Technology, etc.) Possess at least one relevant professional qualification such as CPA, CIA, CFA, FRM, or other security related qualifications. Knowledge in financial products, listing, exchange, clearing and settlement rules and regulations. Team-oriented with a strong sense of ownership and individual accountability. Independent and motivated, with the ability to multi-task and remain organized. Demonstrate agility and the ability to operate in a fast-changing environment. Demonstrate effective communication by clearly articulating audit findings to stakeholders. Experience in leveraging data and technology is an advantage. HKEX is committed as an Equal Opportunity Employer. Diversity is one of our core values and we look to support, respect diverse perspectives, abilities, culture and experiences within our workplace. Location: HKEX - Exchange Square Shift: Standard - 40 Hours (Hong Kong SAR) Scheduled Weekly Hours: 40 Worker Type: Permanent Hong Kong Exchanges and Clearing Limited (HKEX) is a publicly-traded company (HKEX Stock Code:388) and one of the world’s leading global exchange groups, offering a range of equity, derivative, commodity, fixed income and other financial markets, products and services, including the London Metals Exchange. As a superconnector and gateway between East and West, HKEX facilitates the two-way flow of capital, ideas and dialogue between China and the rest of world, through its pioneering Connect schemes, increasingly diversified product ecosystem and its deep, liquid and international markets. HKEX is a purpose-led organisation which, across its business and through the work of HKEX Foundation, seeks to connect, promote and progress its markets and the communities it supports for the prosperity of all. Discover the latest career opportunities and programmes at HKEX.