- Conduct audits to assess compliance with firm policies and regulatory requirements.
- Design and run queries, mainly via Microsoft Access, to obtain data necessary for performing audits and other projects
- Identify/implement automation opportunities to enhance compliance and efficiencies of the business as a whole.
- Develop process knowledge and identify risk areas for assigned audit projects;
- Keep abreast with various laws/regulations applicable to a global broker/dealer;
- Support the firm's unclaimed property compliance initiatives. This involves aiding the firm's unclaimed property identification and reporting tasks to ensure compliance with global unclaimed property laws.
- Develop specifications to automate the audit, unclaimed property and confirmation tasks, wherever possible.
- The desired candidate will have years of business experience, preferably with exposure to auditing and/or programming, along with knowledge of Hong Kong SFC regulations.
- Candidate must be comfortable working in an automated hands-on environment.
- The ideal candidate would be inquisitive, quick learner, detail-oriented, have good organizational skills, and capable of performing data analytical tasks.
- Fluency in written and oral English is also required.
- Competitive Salary, annual performance-based bonus and stock grant
- Excellent health and welfare benefits, including medical, dental, specialist and in-patient
- Competitive package of Annual Leave
- Daily lunch is ordered in-house with a fully stocked kitchen.
- Modern offices with multi-monitor setups
- Great work-life balance
- Unique opportunity to gain exposure to global financial products, markets and clientele
- Opportunities for career progression and job scope expansion in a global company with a growing local presence
- Hybrid work arrangement role permitting
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Junior Internal Auditor - Hong Kong, 香港 - Interactive Brokers
描述
ROLE:
The Internal Auditor will perform Compliance, Financial, Operational and Information System audits to determine the accuracy of financial records, effectiveness of prudent business practices, and compliance with policies, procedures, and regulations.
RESPONSIBILITIES:
REQUIREMENTS:
Company Benefits & Perks
Hong Kong的Junior Internal Auditor从业者
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Leung Ting Duncan Lau
Property and Hospitality Management Professional