Audit Manager

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Overall Purpose of 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 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:

The Audit Manager reports to the LME Senior Audit Manager and is the Manager-in-Charge to lead & conduct business audits in accordance with the annual audit plan. This role also supports and contributes to departmental initiatives with a primary focus on the LME IAs mission to enhance audit quality efficiency through the use of data analytics automation and emerging technologies. This role is ideal for a curious tech-savvy and detail-oriented individual who can demonstrate experience in applying data analytics or automation tools in an audit or risk addition the role also assists the audit coverage for Innovation and Data areas across different audits within LME IA. The key responsibilities of the role include:

• Independently manage and lead business audits from planning risk-based audit scope through fieldwork execution to reporting in accordance with GIAs audit methodology to ensure audits are run effectively and key issues are identified and reported.
• Demonstrate ability to critically assess processes and develop testing strategies to evaluate design and effectiveness of key controls. Independently articulate potential control gaps and risk exposures to stakeholders.
• Leverage innovation/ automation audit techniques to increase effectiveness and efficiency of the audit program.
• Independently conduct continuous risk monitoring and assessments of the business operations to identify emerging / high-risk areas for coverage.
• Manage stakeholder relationships and proactively provide risk and control advice with an aim to improve the LME Groups control environment. Challenge and influence management to implement effective controls.
• Develop sound knowledge of the LME Groups strategy products risk management processes and operating platforms. Consider broader enterprise risks and LME Groups strategic objectives.
• Stay current with the industry development and business trends. Conduct research on industry and risk topics to increase effectiveness of audit coverage and Internal Audits ability to add value to the LME Group.
• Engage in ad-hoc audit activities such as review of key firmwide change initiatives and regulatory requests.
• Validate remediation of audit issues in an effective and timely manner.
• Assist in driving IA automation and innovation initiatives and conduct workshop / sharing to promote innovation culture and work within LME IA to increase audit efficiency and effectiveness
• Participate in proof-of-concept (POC) projects involving AI Python and other emerging technologies to explore their application in audit and uplift the audit lifecycle.
• Assist in the development and maintenance of dashboards data models and automation tools to support audit planning and continuous risk monitoring to identify emerging/high-risk areas in order to build the audit strategy and direction.
• Collaborate with audit teams to integrate data-driven approaches into audit engagements and conduct data analysis to identify trends anomalies and control deficiencies across various business processes.
• Assist LME IA Management to deliver issues risks and trends that impact the Firms 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 GIAs audit methodology.
• Support the preparation of materials for senior management Audit Committee and regulators.

Academic and Professional Qualifications Required:

• A 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.

Required Knowledge and Level of Experience:

• At least 5 to 10 years of work experience in internal or external audit risk management compliance preferably with professional firms or financial institutions. Other relevant expertise will also be considered.
• Business specific: Knowledge in financial products listing exchange clearing and settlement rules and regulations.
• Innovation & Data:
• 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.

Skills set and Core Competencies Required for Role:

• 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.

The LME is committed to creating a diverse environment and is proud to be an equal opportunity 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 doing so we want every LME employee to feel our commitment to showing respect for all and encouraging open collaboration and communication.