Principal – Risk Advisory & Internal Control

Role Purpose

Due to our firm's rapid expansion in both the Financial Services and Pre-IPO Advisory sectors, we are seeking a highly technical and commercially minded Principal. This individual will be a key leader in our Risk Advisory practice, responsible for managing high-stakes internal control reviews for both newly listed entities and heavily regulated financial institutions.

Key Responsibilities

• Pre-IPO & Listing Compliance: Lead and oversee internal control due diligence for IPO applicants in accordance with HKEX Practice Note 21 (PN 21). Ensure full compliance with Corporate Governance Codes and manage reporting accountant duties for VSAs and major acquisitions.
• Financial Services & AML Advisory: Direct the financial services advisory team in performing s59(2) special reviews, AML/CFT assessments, and regulatory compliance audits for Banks, VASP (Virtual Asset Service Providers), and SVF licensees.
• Governance & ESG Strategy: Drive the development of Environmental, Social, and Governance (ESG) frameworks, including climate risk management and green finance disclosures for listed clients.
• IT & Systems Assurance: Oversee SOC 1 & 2 / ISAE 3402 & 3000 Type 1 & 2 assurance engagements. Provide strategic guidance on technology risk management and the implementation of AI-enhanced monitoring systems.
• Thought Leadership & Training: Represent the firm as a frequent speaker at industry conferences (e.g., HKCGI, HKICPA) and provide regular compliance training to senior executives of tier-one financial institutions.

Requirements

• Professional Standing: Minimum 10+ years of experience in Risk Advisory or Internal Audit, with a significant tenure at a Big 4 or mid-tier firm.
• Technical Mastery: Deep expertise in HKMA Supervisory Policy Manuals, SFC Fund Manager Code of Conduct, and HKEX Listing Rules.
• Qualifications: Must be a CPA (HKICPA/ACCA/ACA). Additional certifications such as CAMS/AAMLP (AML), CESGA (ESG), or CISA (IT Audit) are highly desirable.
• Client Portfolio: Proven track record managing a diverse portfolio including Banks, Asset Managers, and complex Conglomerates.
• Communication: Native or professional fluency in English and Cantonese/Putonghua is essential for board-level presentations.