Job ref no.: CT3127248-01#9094

Internal Auditor

Interactive Brokers

 

ROLE:

The Internal Auditor will perform Compliance, Financial, Operational and Information System audits for the purpose of determining the accuracy of financial records, effectiveness of prudent business practices, and compliance with policies, procedures, and regulations.

RESPONSIBILITIES:

  • Conduct audits to assess compliance with firm policies and regulatory requirements.
  • Design and run queries, mainly via Microsoft Access, to obtain data necessary for performing audits and other projects
  • Identify/implement automation opportunities to enhance compliance and efficiencies of the business as a whole.
  • Develop process knowledge and identify risk areas for assigned audit projects;
  • Keep abreast with various laws/regulations applicable for a global broker/dealer;
  • Support firm's unclaimed property compliance initiatives. This involves aiding firm's unclaimed property identification and reporting tasks to ensure compliance with global unclaimed property laws.
  • Develop specifications to automate the audit, unclaimed property and confirmation tasks, wherever possible.

REQUIREMENTS:

The desired candidate will have 0-2 (2-4) years' business experience preferably with exposure to auditing and/or programming along with knowledge of Hong Kong SFC regulations. Candidate must be comfortable working in an automated hands-on environment. Ideal candidate would be inquisitive, quick learner, detail oriented, have good organizational skills, and capable of performing data analytical tasks. Fluency in written and oral English is also required.

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More job information
Job ref no. CT3127248-01#9094
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 0 year - 4 years
Career Level
  • Entry level
Education
  • N/A