Compliance Audit Manager

This is a fully remote position, open to applicants in Hong Kong.

📋 Description

• Carry out assigned audit engagements from the planning phase to reporting, under the supervision of the Head of Audit.

• Execute walkthroughs, document procedures, and assess the design and operational effectiveness of internal controls.

• Conduct thorough testing of IT General Controls (ITGCs) as well as automated or manual business process controls across essential systems and platforms.

• Utilize direct system data extraction and automated testing methods instead of relying entirely on manual sampling.

• Create clear working papers that substantiate audit conclusions using a risk-based, proportionate approach.

• Evaluate compliance across various group entities, including EU (MiFID II, AIFMD, UCITS, GDPR, AML), UK (FCA, SMCR, Consumer Duty), Hong Kong (SFC Code of Conduct, AML/CFT), and Dubai (DFSA Rulebook, AML).

• Keep abreast of global regulatory changes while collaborating with local compliance teams to collect information and clarify expectations.

• Draft audit findings, discuss outcomes with process owners, and establish practical management action plans (MAPs).

• Track the status of outstanding findings, rigorously verify remediation actions, and ensure accurate audit system records are maintained.

• Oversee co-sourced and outsourced audit providers to guarantee seamless and high-quality execution of specialized reviews.

• Assist the Head of Audit with materials for the Audit Committee, support external audits, and coordinate regulatory examinations.

• Participate in continuous improvement initiatives, particularly in advancing data analytics and continuous auditing capabilities.

⛳️ Requirements

• A Bachelor's degree in Law, Compliance, Accounting, Finance, Business Administration, Information Systems, or a related field.

• Over 5 years of experience in internal audit, external audit, or risk/compliance-related roles.

• Industry Background: Experience in auditing or closely collaborating within the investment sector, such as brokerages, exchanges, trading platforms, wealth management, or dynamic fintech environments.

• Regulatory Exposure: Familiarity with at least two of the following regulatory environments is beneficial: EU, UK, Hong Kong, or Middle East (DIFC/DFSA).

• Tools: Knowledge of audit management software and proficiency in the Microsoft Office suite (especially advanced Excel).

🏝️ Benefits

• Professional certification completed or currently in progress: CIA, CISA, CAMS (ACAMS), or a recognized regulatory compliance qualification (e.g., ICA Diploma).

• A commitment to pursuing additional relevant specialized certifications (e.g., CISA, CRISC, CRMA) is highly appreciated.