Financial Services Auditor
6 days ago
Enhance market integrity by enforcing regulatory standards and contributing to a fair and transparent marketplace.
About the Job:- Drive improvements in surveillance and enforcement processes, contributing to a fair and transparent marketplace.
- Support the execution of annual attestation and inspection programs, including targeted thematic reviews, to ensure compliance with regulatory requirements.
In this role, you will enforce regulatory standards, conduct inspections, and support thematic reviews to uphold market integrity.
Responsibilities:
- Enforce regulatory standards and conduct inspections to ensure compliance with regulatory requirements.
- Prepare management and regulatory reports, including data analytics and presentation materials, to support decision-making.
- Perform UAT testing and contribute to the implementation of rule enforcement systems.
- Serve as a liaison with regulators, market participants, and internal teams to address enforcement-related matters.
Qualifications:
- University degree in Business Administration, Finance, Law, or related disciplines.
- Minimum 8 years of relevant experience, preferably in audit, inspection, enforcement, or compliance roles within regulators or financial institutions.
- Strong grasp of securities and futures regulations, exchange rules, and enforcement practices.
- Self-starter with strong multitasking abilities, attention to detail, and problem-solving skills.
- Excellent interpersonal and presentation skills.
- Proficiency in written and spoken English and Cantonese.
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