What Jobs are available for Sox Auditor in Hong Kong?

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:

The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.

The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.

Job Duties:

Responsibilities:

• Support team's efforts in enforcement of HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX's Annual Attestation and Inspection Programme and thematic reviews
• Assist in organizing market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin
• Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
• Perform UAT testing and contribute to implementation of rule enforcement systems
• Work in collaboration with other team members to develop, maintain and review internal policies and procedures
• Provide full support to team lead in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders
• Undertake any ad-hoc assignments as required

Requirements:

• University degree, preferably in Business Administration, Finance, Law or related disciplines
• At least 3 years' relevant experience, preferably in audit, inspection, enforcement, compliance or advisory roles with regulators or in well-established financial institutions
• Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines. Enforcement experience is an advantage
• Proven ability to multi task and able to adjust effectively to changing priorities
• Self-starter, able to work independently, highly motivated with a strong delivery focus
• Meticulous attention to details, strong analytical and problem solving skills
• Strong interpersonal and presentation skills (verbal and written)
• Project management experience (planning/testing/implementation) is an advantage
• Strong command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred
• Proficiency in data analytics and visualization tools to drive insights and facilitate management reporting. Hands-on experience in Microsoft Power suite and Tableau 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

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

About EY FSO

At EY, we are committed to building a better working world. As one of the world's leading professional services firms, we provide assurance, tax, consulting, and strategy and transactions services to help our clients navigate complex challenges and capitalize on opportunities. Our Consulting practice focuses on delivering innovative solutions to the financial services sector, helping organizations enhance their risk management, compliance, and operational efficiency. In Hong Kong, a global financial hub, we partner with leading banks and institutions to drive sustainable growth and resilience.

Job Description

We are seeking a dynamic and experienced Manager to join our Financial Services Internal Audit team in Hong Kong. This role offers the opportunity to work on high-impact projects, advising top-tier banks on internal audit strategies, methodologies, and lifecycle management.

Your key responsibilities

Support EY projects with respect to:

• Lead and manage engagements relating to controls in financial institutions including internal audit consulting engagements for international banking clients, which can range from full internal audit lifecycle, including planning, execution, reporting, and follow-up, as well as regulator related independent reviews and remediations.
• Develop and implement robust internal audit methodologies tailored to the banking sector, ensuring alignment with regulatory requirements such as those from the Hong Kong Monetary Authority (HKMA) and international standards (e.g., IIA standards).
• Conduct risk assessments, identify control deficiencies, and recommend enhancements to internal audit processes to mitigate financial, operational, and compliance risks.
• Collaborate with cross-functional teams to deliver integrated advisory services, including technology-enabled audits, data analytics, and process improvements.
• Mentor junior team members, providing guidance on audit techniques, methodology application, and client relationship management.
• Stay abreast of industry trends, regulatory changes, and emerging risks in the banking sector, contributing to thought leadership and knowledge sharing within EY.
• Build and maintain strong client relationships, identifying opportunities for additional services and supporting business development efforts.

To qualify for the role you must have:

• Bachelor's degree in Accounting, Finance, Business Administration, or a related field; professional certifications such as CIA (Certified Internal Auditor), CPA, or CISA are highly preferred.
• Minimum of 5-8 years of relevant experience in internal audit within the banking or financial services industry with leading , with at least 3 years in a managerial or supervisory role.
• Proven expertise in the bank internal audit lifecycle, including risk-based audit planning, fieldwork execution, issue validation, and remediation tracking.
• Strong knowledge of internal audit methodologies, frameworks, and best practices, with experience in designing and optimizing audit programs for complex financial institutions.
• Familiarity with Hong Kong's regulatory environment, including HKMA guidelines, Basel accords, and anti-money laundering (AML) requirements.
• Experience in leading global banks as well as Big Four or similar professional services firms is advantageous.
• Excellent analytical and problem-solving abilities, proficiency in audit management software, experience in data analytics tools a plus.
• Strong communication and presentation skills, capable of articulating complex audit findings to senior stakeholders.
• Ability to work effectively in a fast-paced, team-oriented environment, managing multiple projects and deadlines.
• Fluency in English and Cantonese; Mandarin is a plus.
• Commitment to professional ethics, integrity, and continuous learning.

What We Offer

• Competitive salary and benefits package, including performance bonuses, health insurance, and professional development opportunities.
• Access to EY's global network and resources, with opportunities for international assignments and career progression.
• A collaborative and inclusive culture that values diversity and work-life balance.
• Ongoing training and support to achieve certifications and advance your expertise in financial services risk advisory.

If you can confidently demonstrate that you meet the criteria above, please contact EY professionals as soon as possible.

Join EY and Shape the Future with Confidence.

Apply now.

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

Assurance - Audit - Financial Services (Insurance Groups) - Senior Manager/Manager - Hong Kong

The Opportunity
We are currently seeking for experienced FS audit candidates for an excellent career and leadership opportunity in our Assurance Financial Service Organization (FSO) group. Our talented and dedicated FSO professionals deliver audit solutions to many types of entities including funds, banks and insurance companies.

Responsibilities, Qualifications, Certifications
Responsibilities:
Your Key Responsibilities

• Develop and maintain strong working relationships with key business decision makers throughout the year to communicate value and inform them of the firm's scope of services
• Provide guidance/expertise and participate in the performance of audit procedures, especially focusing on complex and/or specialized issues
• Support the planning, execution and delivery of audit and assurance engagements
• Work effectively as a team member, sharing responsibility, providing support, maintaining communication and updating senior team members on progress
• Assist in preparing reports and schedules that will be delivered to clients and other parties
• Build strong internal relationships within FS Assurance and across other services
• Use technology to continually learn, share knowledge with team members, and enhance service delivery. Maintain an educational program to continually develop skills

Requirements:
To qualify for the role you must have

• A university degree majoring in accounting, finance or business administration related subjects
• Qualified CPA member (e.g. HKICPA, CPAA, CICPA, ACCA, CPAA etc.)
• At least 5 years or above experience as an auditor for a CPA firm, or industry experience within insurance sectors - life insurance, general insurance, retirement business and insurance brokerage
• Excellent project management skills
• Advanced written and verbal communication skills in both English and Chinese
• A dedication to teamwork and leadership
• Integrity within a professional environment
• Familiarity of SFO, ICO, BO and MPFO preferable

What Working At EY Offers

• Support, coaching and feedback from some of the most engaging colleagues around
• Opportunities to develop new skills and progress your career
• The freedom and flexibility to handle your role in a way that's right for you

If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible.
Join us in building a better working world.
Apply now.

The Role:

• Lead a small team to plan and perform financial and operational audits, as well as to appraise the strength and weakness of corporate governance, operation effectiveness and efficiency, and internal controls of business units and supporting functions
• Prepare internal audit reports on findings and recommendations, and follow up on the implementation status of agreed recommendations
• Provide coaching and supervision to team members
• Facilitate enhancement in company policies and procedures as well as internal control system
• Identify all associated organization risks and exposures, and provide constructive recommendations to management for improvement
• Develop audit programs
• Assist in preparing reports to Board Audit and Risk Committee
• Carry out ad hoc assignments as assigned

The Person:

• University graduate with professional qualifications of CPA or equivalent, candidate with CIA is an advantage
• At least 10 years' internal audit experience preferably gained from internal audit function of conglomerates with diversified businesses
• Strong interpersonal and communication skills with sound analytical mind and acute business sense
• Self-motivated, proactive and able to work independently, well-organized and be a good team player
• Good report writing and presentation skills
• Good command in both written and spoken English and Chinese, fluency in Putonghua is required
• PRC experience is preferred and occasional travel to PRC is required

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

Recruit Ref: L

Posting Date:

Tai Hing Worldwide Development Ltd

Internal Audit Officer (Fresh Graduate Welcome)

Key Responsibilities:

• Plan and conduct financial and operational audit at shops to ensure efficiency and effectiveness of internal controls
• Review financial reports and information systems
• Prepare reports and follow up with audit findings and recommendations
• Assist in developing and implementing internal audit plans, programs and risk assessments
• Collect and consolidate data from systems to generate reports as required
• Handle admin duties of audit department
• Handle any ad hoc projects as required

Requirements:

• Higher Diploma or Degree holder in Accounting/ Finance or related disciplines
• 1 year or above experience of internal audit experience in catering industry is preferred
• Good command in both written and spoken English and Chinese
• Proficient in MS Word, Excel and Chinese Word Processing
• A team player with good interpersonal and communication skills, able to work independently under pressure
• Immediate availability is preferred
• Fresh graduates are welcome

We offer competitive package and benefits:

• Five-Day work week
• 3 Days Marriage Leave
• 5 Days Full Pay Paternity Leave
• Family-Friendly Leave
• Birthday Leave
• Free Duty Meal
• Staff Discount
• Medical Allowance
• Insurance Plan
• Promotion Opportunities

Working Location: Fotan

• All personal data collected during the application process will be kept for 3 months after its completion, and then destroyed. All information will be used for recruitment and appointment purposes only. The Group will handle all personal data confidentially in accordance with the Hong Kong Special Administrative Region's Personal Data (Privacy) Ordinance.

Industry:

Food & Beverage

Job Category / Function:

Accounting / Auditing (Audit)

Accounting / Auditing (Others)

Fresh Graduate (Fresh Graduate)

Catering (Others)

Job Position Level:

Middle

Employment Term:

Full Time / Permanent

Min. Edu. Level Req:

Associate Degree / Higher Diploma

Minimum QF Level attained:

-

Total Working Exp:

1 or above

Salary(HKD):

-

Location:

Shatin District / Fo Tan

Benefits:

5-Day Work

Birthday Leave

Marriage Leave

Medical Insurance

Paternity Leave

Promotion

Staff Discount