As an Associate / Analyst in the Statutory Audit Team, you will assist the Head of Statutory Audit to develop, plan and execute the annual audit plan.
Job responsibilities
- Perform general audits and special audits in accordance with annual audit plan and regulatory requirements, and follow up on the remediation activities for audit findings.
- Work with relevant parties on the RFIs during the regulator onsite inspections.
- Prepare follow-up reports of internal and external audit findings to the BOD at least on a quarterly basis.
- Assist to certify and issue declaration statements of internal control system by reviewing of annual internal control self-assessment reports.
- File the execution report of annual audit plan to SITCA timely.
- Assist the business units to amend the internal control guideline, and revise the internal audit implementation rules accordingly.
- Perform spot checks on the training events for distributors.
- Participate in ad hoc assignments or projects whenever needed.
Required qualifications, capabilities, and skills
- Bachelor’s degree in Law, Accounting or Finance related fields.
- Senior Securities Specialist License or SITE & SICE Personnel License.
- 2+ years of working experience in Asset management, Banks, Securities/Futures firms or big 4 CPA firms.
- Good verbal, written and negotiation skills in both English and Chinese.
- Effective project management skills
- Ability to work under pressure and meet milestones within time.
Preferred qualifications, capabilities, and skills
- Audit, Compliance, Risk background preferred