Internal Control Auditor

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Guosen Securities (HK) Financial Holdings Co Ltd
  • 18 Sep 17

Guosen Securities (Hong Kong) Financial Holdings Co., Ltd, registered in Hong Kong, is a wholly-owned subsidiary of Guosen Securities Co., Ltd., one of the top ranked financial institution for securities trading and stock listing offers in China. To cope with the Company's rapid expansion, we invite high caliber personnel to fill the following position:


  • To review the AML / CFT systems and assess the risk mitigation procedures and controls of the Company to ensure the effectiveness and complied with internal compliance control and relevant legal and regulatory requirements
  • Co-ordinate the internal and external audit processes, liaise with external auditors and relevant regulatory bodies in compliance with the changes in relevant legal, regulatory, Company policies, headquarters and compliance checking requirements
  • Participate in internal audit assignments and regular review activities for supervisory review
  • Carry out independent compliance check to identify deficiencies in internal controls and risk management, and to make appropriate recommendations for improvement in control and operating efficiency
  • Identify and escalate areas of potential risk and/or quality improvement areas
  • To perform ad hoc projects as required


  • Degree holder in Accounting, Finance or other Business related disciplines
  • Qualified HKICPA, ACCA, CIA or equivalent qualified candidates is an advantage
  • Minimum 3 years’ experience in external/ internal auditing field, working experience in brokerage firms, financial institutions or listed company is preferable
  • Knowledge and experience in audit methodology, risk assessment, internal controls and compliance
  • Proficiency in PC Skills, including MS Word, Excel, PowerPoint and Chinese word processing
  • Good command of written and spoken English and Chinese, fluency in Putonghua
  • Excellent communication, analytical and problem-solving skills
  • Independent, attention to details and able to work under pressure to meet tight deadlines 

Candidates with more experience may be considered to be Internal Control Manager

Attractive remuneration will be offered to the right candidate.  Interested parties please email your full resume with present & expected salary to via "Apply".



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