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About the Role
The Audit Manager will report into and be responsible for working with the LME Senior Audit Manager in the execution of the annual internal audit plan, contributing to the assessments of risks within the business functions as well as enhancing audit quality, efficiency through the use of data & innovative / emerging technologies. The Audit Manager will have regular liaison with HKEX Group Internal Audit (GIA), especially regarding business audit work, innovative & data and quality as LME Internal Audit forms part of GIA.
Responsibilities
- Lead and conduct business audits from planning risk-based audit scope, through fieldwork execution, to reporting in accordance with GIA’s audit methodology.
- Critically assess processes and develop testing strategies to evaluate design and effectiveness of key controls.
- Articulate potential control gaps and risk exposures to stakeholders.
- Leverage innovation/automation audit techniques to increase effectiveness and efficiency of the audit program.
- Conduct continuous risk monitoring and assessments of business operations to identify emerging/high-risk areas.
- Manage stakeholder relationships and proactively provide risk and control advice.
- Challenge and influence management to implement effective controls.
- Develop sound knowledge of the LME Group’s strategy, products, risk management processes and operating platforms.
- Consider broader enterprise risks and LME Group’s strategic objectives.
- Stay current with industry development and business trends.
- Conduct research on industry and risk topics.
- Engage in ad-hoc audit activities such as review of key firmwide change initiatives and regulatory requests.
- Validate remediation of audit issues effectively and timely.
- Assist in driving IA automation and innovation initiatives and conduct workshops/sharing to promote innovation culture.
- Participate in proof-of-concept (POC) projects involving AI, Python and other emerging technologies.
- Assist in the development and maintenance of dashboards, data models, and automation tools.
- Collaborate with audit teams to integrate data-driven approaches into audit engagements and conduct data analysis.
- Assist LME IA Management to deliver issues, risks and trends that impact the Firm’s control environment in relation to Innovation and Data to Senior Management and the Audit Committee.
- Stay updated on industry trends in data analytics, audit technology, and innovation.
- Participate and contribute to other departmental initiatives such as continuous improvement of GIA’s audit methodology.
- Support the preparation of materials for senior management, Audit Committee and regulators.
Requirements
- At least 5 to 10 years of work experience in internal or external audit, risk management, compliance, preferably with professional firms or financial institutions.
- Knowledge in financial products, listing, exchange, clearing and settlement rules and regulations.
- Proficiency in tools such as Python, Power BI, Power Automate, Excel VBA, or SQL is preferred.
- Familiarity with data visualization, ETL processes, and automation workflows is an advantage.
- Eagerness to learn and apply new technologies in a business context.
- Team-oriented with a strong sense of ownership and individual accountability.
- Demonstrate agility and the ability to drive and adapt to changes in a fast-changing environment.
- Strong communication and relationship management skills.
- Strong interest and experience in leveraging data and technology.
- Highly motivated self-starter with the ability to multi-task and remain organised.
- Ability to demonstrate sound judgment and professionalism.
- Demonstrate an interest in developing commercial awareness.
- Good report writing and presentation skills.
Skills
- Data Analytics
- Automation
- Python
- Power BI
- Power Automate
- Excel VBA
- SQL
- Data Visualization
- ETL Processes
- Automation Workflows
- Risk Management
- Communication
- Relationship Management
- Problem Solving
- Adaptability
Location
- UK-London
Work Type
- Permanent
- Standard 40 Hour Week
Experience Level
- 5 to 10 years
Education Level
- University graduate of relevant disciplines (e.g. Accounting, Finance, Business Administration, Data Science, or a related field.)
- Relevant professional qualifications, such as accounting and auditing qualifications: ACA, CIMA, ACCA, IIA etc. possess at least one.
About the Company
- Hong Kong Exchanges and Clearing Limited (HKEX) is a publicly-traded company (HKEX Stock Code:388) and one of the world’s leading global exchange groups, offering a range of equity, derivative, commodity, fixed income and other financial markets, products and services, including the London Metals Exchange.
- As a superconnector and gateway between East and West, HKEX facilitates the two-way flow of capital, ideas and dialogue between China and the rest of world, through its pioneering Connect schemes, increasingly diversified product ecosystem and its deep, liquid and international markets.
- HKEX is a purpose-led organisation which, across its business and through the work of HKEX Foundation, seeks to connect, promote and progress its markets and the communities it supports for the prosperity of all.
- Discover the latest career opportunities and programmes at HKEX.
Equal Opportunity
- The LME is committed to creating a diverse environment and is proud to be an equal opportunity employer.
- In recruiting for our teams, we welcome the unique contributions that you can bring in terms of education, ethnicity, race, sex, gender identity, expression & reassignment, nation of origin, age, languages spoken, colour, religion, disability, sexual orientation and beliefs.
- In doing so, we want every LME employee to feel our commitment to showing respect for all and encouraging open collaboration and communication.