Associate/Senior - Conduct and Regulatory Assurance (FSI)

About the Business

Finance today often struggles to meet competing priorities. Not only does management demand Finance to provide quicker and better analytical insights to support decision-making, but new accounting standards, rapid changes to business model and M&A activities also place significant pressure on Finance to adapt fast.

Now more than ever, business and finance executives seek assistance from us to improve the productivity and performance of their finance operations and transform their finance functions into trusted business advisors.

To enable our clients in establishing world-class finance functions, we adopt a cross-disciplinary approach to provide insight on how to better design finance organizations, processes, data and systems with leading practices and digital technology, as well as facilitate our clients in managing capital market transactions, such as getting ready for IPO, carving out business units for spin-off, integrating finance functions after a merger, etc.

Work you'll do

• Involve in wide variety of projects with providing regulatory recommendations to clients in financial services sector
• Perform compliance advisory and independent assessment for financial institutional clients on complying SFC, HKMA and HKIA's requirements
• Advise and assist client in applying for the relevant SFC and HKMA's licensees
• Review and advise on internal control for remediation or enhancements for financial institutional clients such as banks, broker, asset managers, corporate finance firms, crypto exchanges or crypto custodians. 
• Conduct process walkthrough, prepare discovery and solution workshops and draft up the improvement plan and roadmap to help clients to strategize, improve their operations and address regulatory requirements, including but not limited to the design of organizations, processes and systems
• Assist clients to draft policy manual, redesign processes, conduct training and other activities to help clients to implement the remedial actions
• Responsible for the production of regulatory or risk analysis reports, prepare the final deliverable and make oral presentations of findings/recommendations to client’s management
• Support responses to consultation papers from relevant regulatory bodies and conduct technical research for new rules and regulations
• Develops a constructive working relationship with team members to create an effective integrated engagement team
• Understands the allocation of responsibilities within the multi-disciplinary team, including timetables and how the work will contribute to engagement objectives
• Provides timely responses to multi-disciplinary engagement team counterparts and keeps them up to date with progress and findings

During your tenure with us, you will demonstrate and develop your leadership and professional capabilities in the following areas: Inspiring, Creating purpose, Driving agility, Building diverse capability, Influencing, Collaborating, Delivering value, Building the business, Analytical acumen, Effective communication, Engagement management/delivery excellence, Managing change, Managing quality & risk, Strategic thinking and problem solving, and Tech savviness.

We are looking for someone with

• Bachelor or Master degree of any disciplines, but preferably a degree in Finance, Accounting or related subjects
• Preferably professional accounting qualification (e.g. HKICPA, CICPA, AICPA, CIMA, etc.)
• Minimum three years’ of experience in delivering professional services as an auditor of financial statements for financial services industry or, operations and internal controls improvement, and/or financial software implementations
• Preferably accreditation as Green & Sustainable Finance (GSF) professional recognised by Deloitte
• Strong planning and organizing skills, with the ability to work effectively under pressure managing projects/deliverables 
• Knowledge of trends in financial services industry, development and availability of new technologies and tools for the industry
• Be a team player and be able to work well with individuals from across disciplines as well as across cultures and seniority
• Ability to manage and deliver against deadlines while working on multiple projects
• Experience of problem solving and ability to implement and passionate about delivering the best solutions tailored to our clients
• Able to apply analytical thinking and professional skepticism to surface more complex issues within the audit, and appropriately document judgements and demonstrate a commitment to quality
• Be an excellent communicator and have fluency in in both English and Mandarin Chinese, including both technical and business writing, documentation and presentation skills
• Proficient in Microsoft Word, Excel and PowerPoint