int(10573)
Hong Kong, Hong Kong

VP – Internal Auditor (Regulatory Compliance)

Our client, a global fintech firm is looking for a Senior Internal Auditor with expertise in Regulatory Compliance. This role is crucial for maintaining the integrity and compliance for the organization’s operations.

Please contact Sophia Lin on +65 6850 7206 or email your cv directly in word format with job reference no. 12833 to corporategovernance@theedgepartnership.com

Please note that due to the high number of applications only shortlisted candidates will be contacted. If you do not hear from us in the next 5 business days we regret to inform you that your application for this position was unsuccessful.

EA Licence: 16S8131

Recruiter Licence: R22104669

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Key responsibilities

Design of periodic audit plan, using a risk-based methodology

  • Responsible for delivery of the approved audit plan
  • Design and implement audit strategies for covering key regulatory & compliance risks, across the entity and country structures
  • Evaluate the design and operating effectiveness of key controls in place to mitigate compliance and regulatory risks
  • Recommend enhancements to the control environment, based on identified weaknesses in your insights from industry and regulatory expectations
  • Support the execution of risk-based analytical data sampling
  • Support the monitorship program and oversee the implementation of the compliance program in accordance with the plea agreement with the DOJ from an Internal Audit perspective
  • Ownership of the end-to-end delivery of audits, in line with the IA Methodology
  • Participate in peer review and quality assurance reviews, to ensure other parts of IA are maintaining quality standards

Role requirements

  • Degree in Accountancy, Banking, Finance, Business or Law, or relevant professional qualification in financial services. More than 10 years’ experience in internal or external audit in finance institutions, risk and insurance management, stock exchanges, or large internet-based companies
  •  Good understanding of Internal Audit/Risk Management/Investigation Functions
  •  Experience of working in a compliance function (AML/CFT/Transaction Monitoring) will be a plus
  • Team player with the ability to work independently in a fast-paced environment and within a small team setting
  • Ensure data and reporting needs are well understood and delivered promptly
  • Analytical, proactive and flexible in dual hatting between daily production and occasional change initiatives
  • Great interpersonal and communication skills