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.