What Jobs are available for Audit Analyst in Hong Kong?

Internal Audit, Regional Audit, Analyst, Hong Kong

In Internal Audit, we ensure that Goldman Sachs maintains effective controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart control solutions. Our group has unique insight on the financial industry and its products and operations. We're looking for detail-oriented team players who have an interest in financial markets and want to gain insight into the firm's operations and control processes.

INTERNAL AUDIT

As the third line of defense, Internal Audit's (IA) mission is to independently assess the firm's overall control environment, including the firm's governance processes and controls, and risk management and capital and anti-financial crime frameworks. In doing so, IA:

• Communicates and reports on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk
• Raise awareness of control risk
• Assesses the firm's control culture and conduct risks; and
• Monitors management's implementation of control measures

RESPONSIBILITIES AND QUALIFICATIONS

General Responsibilities:

• Develop and maintain an in-depth understanding of business areas, its products, and supporting functions
• Participate in walkthroughs with management and execute testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
• Identify risks, assess mitigating controls, and make recommendations on improving the control environment
• Assist in every step of an audit including scoping, planning, fieldwork and reporting
• Work with experienced team members to prepare commercially effective audit conclusions and findings, and present to IA senior management and business clients
• Follow-up on open audit issues and their resolution
• Assist in the audit team's continuous monitoring effort to cover market and regulatory events, business and technology updates and audit/reviews completed
• Participate in department-wide initiatives aimed at continually improving IA's processes and supporting infrastructure

Specific Skills and Experience:

• Team-oriented with a strong sense of ownership and accountability
• Strong leadership, interpersonal, relationship and project management skills
• Strong English communication skills (written and verbal) a must. Additional Asian language (Japanese or Korean or Mandarin) will be an asset.
• Solid analytical skills
• Understanding of financial concepts and/or key securities and/ or banking regulations in Hong Kong/ other APAC region
• Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
• At least 2 years of experience in a public accounting, consulting, internal audit and/or regulatory agency examiner role within the financial services industry or a related control function
• University degree in Finance, Accounting, or with quantitative discipline, and ideally a graduate degree in a related subject
• Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, CFE)

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. about our culture, benefits, and people at

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. :

The Goldman Sachs Group, Inc., 2025. All rights reserved.

We Offer Best-In-Class Benefits

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

Holiday & Vacation Policies

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees' priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.

Opportunity Overview
CORPORATE TITLE
Analyst
OFFICE LOCATION(S)
Hong Kong
JOB FUNCTION
Regional Audit
DIVISION
Internal Audit

Job Description
Internal Audit, FICC and Equities Audit, Analyst/Associate, Hong Kong
What We Do
Internal Audit provides independent, objective, and timely assurance and assists management by:

• Assessing and testing the firm's control environment
• Assessing the firm's control culture and conduct risks
• Raising awareness of control risk
• Reporting on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk
• Monitoring management's implementation of control measures

Goldman Sachs Internal Auditors have diverse backgrounds: Chartered accountants, developers, risk management professionals, cybersecurity professionals, and data scientists make up our team. We are organized into global teams aligned to cover all the firm's businesses and functions, including Global Banking & Markets, Asset & Wealth Management, Platform Solutions, Risk management, Finance, Cyber-security and Technology risk, and Engineering.

Who We Look For
Goldman Sachs Internal Auditors have strong analytical skills, professional skepticism and demonstrate strong risk and control mindsets to effectively challenge senior management and discuss risks identified. We look for individuals who enjoy analyzing processes and controls across different businesses and functions, building relationships and grow in team oriented, fast-paced global environment.

As a Business Auditor, you will cover FICC and Equities functions within Global Banking & Markets assessing controls related to sales and trading, risk management and operations supporting the business.

How You Will Fulfill Your Potential

• Planning and scoping: meeting with stakeholders to understand business and technology processes and identifying the key risks and controls to be assessed
• Assessment of the adequacy of the design and operating effectiveness of the controls to mitigate the key risks identified
• Risk Assessment of the issues identified during audits and reporting to management
• Follow up with stakeholders on remediation of actions coming out of issues identified during audit
• Maintenance of stakeholder relationships through regular interaction with the business to assess changes in the control environment which may influence the audit coverage
• Ad hoc work on firmwide projects around innovation to audit methodology and investigation of incidents

Skills And Experience

• Strong analytical skills and ability to understand process flows
• Critical thinking and ability to connect firm and industry standards to workflows being assessed
• Strong verbal and written communication skills
• Relationship building skills and ability to work effectively across a global team
• Team oriented with a strong sense of ownership and accountability
• Prior experience auditing sales and trading, operations, engineering and product control functions or experience in those functions
• Experience with Data Analytics or relevant certification or industry accreditation (e.g., CFA, CIA) is a plus

About Goldman Sachs
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

The Goldman Sachs Group, Inc., 2025. All rights reserved.

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Job Description

Interactive Brokers Hong Kong Limited ("IBHK") is expanding its Risk Assessment Team (RA) within the New Accounts Department at our Hong Kong office. We are searching for candidates with prior experience in the financial services industry, exceptional attention to detail, and strong communication skills. The RA department liaises with Interactive Brokers' retail and professional clients.

The IBHK RA is accountable for providing high-quality reviews of Anti-Money Laundering (AML), Know-Your-Customer (KYC), sanctions, and Politically Exposed Persons (PEP) issues for retail customers, financial advisors, hedge fund operators, and other broker-dealers. We aim to facilitate client onboarding by providing regulatory and compliance guidance while building and maintaining long-term client relationships as we expand our global service offerings.

Responsibilities

• Perform Enhanced Due Diligence (EDD) reviews on individual and corporate applications following policies and desktop procedures; identify and escalate potential AML risks
  
  Analyze and verify source of funds/wealth information through public domain sources or documentation
• Investigate and process alerts from multiple queues, sourcing information as appropriate from external sources and/or internal personnel to investigate and process alerts effectively
• Evaluate and resolve negative news and/or red flags or potential PEP matches escalated by other New Account Teams
• Run checks in the Offshore Leaks Database and conduct public domain searches for negative information related to applicants and associated entities
• Provide advice on issues and escalations to other New Account Teams to address difficult applications and independently recommend risk-based decisions to AML
• Responsible for timely escalation of suspected financial crime to AML
• Work closely with other New Account Teams and AML to review and evaluate all financial crime risks

Qualifications, Skills & Attributes

• Bachelor's degree
• Experience: 2–3 years in client service and/or financial services preferred. Fresh graduates with a relevant academic background who are motivated and demonstrate the right aptitude will also be considered
• Minimum of 2 years' experience and familiarity, preferably gained in a brokerage or corporate banking environment, with onboarding or reviewing high-risk client relationships and conducting EDD
• Excellent written and oral communication skills in English and Cantonese; Mandarin is advantageous
• Strong research, investigatory, and problem-solving skills
• Ability to make risk-based recommendations and articulate them persuasively to other departments
• Able to multitask across various projects and firm initiatives
• Prior experience in a highly automated environment and/or a high degree of comfort with computers and technology
• Intermediate experience with MS Outlook, MS Word, and MS Excel
• Ability to work and thrive in a fast-paced, medium-sized office environment

Core Competencies

• Ability to identify, analyze, and escalate complex issues
• Excellent troubleshooting and problem-resolution skills
• Takes personal responsibility for identifying client needs while providing a high-value experience
• Efficient, self-motivated, and hard-working
• Able to multitask in a high-pressure environment

Company Benefits & Perks

• Competitive salary, annual performance-based bonus, and stock grant
• Excellent health and welfare benefits including medical, dental, specialist, and inpatient coverage
• Competitive annual leave package
• Daily lunch 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, where permitted

• Handle the risk requirement and reporting related to other risks on departmental level
• Handle all sorts of business action plan and strategy report of the department
• Assist to conduct regular analysis to identify emerging AML/CFT risks faced by the Bank and other relevant changes of risk
• Provide comment independently and assist on the development and design, review and ongoing optimization of the AML /CFT risk assessment framework and relevant model
• Follow-up and conduct monitoring on the recommendations made to the model by internal and external auditor, regulator and other compliance team

• Bachelor degree or above in related disciplines
• Required to obtain CAMLP of HKAB or other internationally recognized professional qualifications
• 5 years or above of working experience in banking, law enforcement and regulatory institution or other industry related to AML and sanctions compliance
• Candidate with more experience would be considered as Senior AML Manager
• Require to master at least 1 or more of the following key fields:  AML policy and compliance requirement; customer and product due diligence; AML risk model; compliance review; formulate business and product risk control measures; suspicious transaction case investigation; AML system model management; fraud and corruptions risk control, prevent and investigation
• Good command of execution capabilities, independently and proactively coordinate with each team to implement relevant control measures and requirement to ensure completing the work timely
• Good command of analytic capabilities, conduct analysist on all sorts of data and information, propose risk points in various fields and make recommendations on corresponding controls
• Good command of communication skills and capabilities to organize report and information, coordinate the communication among each divisions and departments proactively and process information efficiently and systematically
• Good command of both written and spoken English and Chinese and report writing ability
• Agree and carry out corporate values, abide by law and regulations and be responsible and dedicated

• Handle the risk requirement and reporting related to other risks on departmental level
• Handle all sorts of business action plan and strategy report of the department
• Assist to conduct regular analysis to identify emerging AML/CFT risks faced by the Bank and other relevant changes of risk
• Provide comment independently and assist on the development and design, review and ongoing optimization of the AML /CFT risk assessment framework and relevant model
• Follow-up and conduct monitoring on the recommendations made to the model by internal and external auditor, regulator and other compliance team

• Bachelor degree or above in related disciplines
• Required to obtain CAMLP of HKAB or other internationally recognized professional qualifications
• 5 years or above of working experience in banking, law enforcement and regulatory institution or other industry related to AML and sanction compliance
• Require to master at least 1 or more of the following key fields: AML policy and compliance requirement; customer and product due diligence; AML risk model; compliance review; formulate business and product risk control measures; suspicious transaction case investigation; AML system model management; fraud and corruptions risk control, prevent and investigation
• Good command of execution capabilities, independently and proactively coordinate with each team to implement relevant control measures and requirement to ensure completing the work timely
• Good command of analytic capabilities, conduct analysist on all sorts of data and information, propose risk points in various fields and make recommendations on corresponding controls
• Good command of communication skills and capabilities to organize report and information, coordinate the communication among each divisions and departments proactively and process information efficiently and systematically
• Good command of both written and spoken English and Chinese and report writing ability
• Agree and carry out corporate values, abide by law and regulations and be responsible and dedicated

• Coordinate other risk-related control requirements and reporting at the department level
• Coordinate business action plans, strategy reports, and other initiatives within the headquarters
• Conduct periodic analysis to identify emerging money laundering and terrorist financing risks faced by the Bank and related risk changes
• Provide independent advice and support for the development, design, review, and continuous improvement of the ML/TF risk assessment framework and related models
• Monitor follow-up actions on model recommendations made by internal/external auditors, regulators, and other compliance teams
• Supervise and support the subordinates

• Bachelor degree or above in Law, Banking and Finance, Accounting or related disciplines
• Relevant qualification in CAMS, ECF (AML/CFT) Core Level, FRM, CPA, ACCA will be an advantage
• Prior experience in IT audit is preferred
• Good Knowledge in one or more of key areas on AML policies and compliance requirements, customer and product due diligence, AML risk modeling, compliance inspections, development of business and product risk control measures, suspicious transaction case investigations, AML system model management, fraud and corruption risk prevention and investigation.
• Strong execution capabilities, independently and proactively coordinating across teams to implement relevant control measures and requirements, ensuring timely completion of tasks
• Possess analytical skills to analyze diverse data and information, identify risk points across domains, and propose corresponding controls
• Excellent communication and report/information organization capabilities
• Exhibit project promotion capabilities to actively coordinate and drive projects assigned by superiors

Your new company

A financial institution is looking for an internal audit director to lead its audit function in Macau.

Your new role

• Lead and manage the internal audit function, including planning, execution, and reporting of audit engagements across business units.
• Develop and implement a risk-based audit plan aligned with regulatory requirements and business priorities.
• Evaluate the effectiveness of internal controls, risk management processes, and compliance with applicable laws and regulations.
• Provide independent assurance and actionable recommendations to senior management and the Board Audit Committee.
• Collaborate with external auditors and regulators, ensuring timely and accurate responses to enquiries and inspections.
• Drive continuous improvement in audit methodologies, tools, and reporting standards.
• Build and mentor a high-performing audit team, fostering a culture of integrity and accountability.

What you'll need to succeed

• Bachelor's degree in Accounting, Finance, or related discipline; professional certifications such as CPA, CIA, or equivalent preferred.
• Minimum 6-8 years of internal audit experience, ideally within financial services.
• Strong understanding of regulatory frameworks in Hong Kong and Macau.
• Proven leadership and stakeholder management skills.
• Excellent analytical, communication, and report-writing abilities.
• Willingness to relocate or frequent travel to Macau.

What you'll get in return

• Strategic leadership role with regional exposure.
• Collaborative and forward-thinking work environment.
• Opportunities for career advancement within the group

What you need to do now

If you're interested in this role or would like to consult about other professional career opportunities within the insurance industry, please send your CV in Microsoft Word format to

Requirement:

• Bachelor degree in accounting or business related disciplines
• Fluency in spoken and written English, Cantonese and Putonghua
• Frequent business travel is required
• Candidates with less working experience but having a passion for developing their career in internal audit will also be considered

Requirement:

• Bachelor degree in accounting or business related disciplines.
• Solid experience in audit, internal audit or business processes review
• Familiar with listing rules or IPO assignments is definitely an advantage
• Fluency in spoken and written English, Cantonese and Putonghua
• Frequent business travel is required