Compliance & Internal Audit Consultant

RGP is a global consulting firm helping some of the most recognized companies in the world work differently. Our success comes from a shared belief in rolling up our sleeves and doing the hard work of solving complex challenges, executing plans and implementing technology to help transform organizations.

Working as a consultant, you will be connected to work that matters, putting your expertise to its best use while developing skills for the future. The result is a career defined by you, supported by RGP and built on tangible accomplishments.

With more than 4,000 professionals, we annually engage with over 2,400 clients around the world from more than 70 practice offices. Headquartered in Irvine, California, RGP is proud to have served 86 of the Fortune 100 companies.

If this sounds like you, we invite you to read on and learn more.

About you

To support RGP's continuous growth, we have immediate openings in our Hong Kong practice for Compliance Testing & Internal Auditor Processionals who are passionate in business consulting, innovative, result-driven, and people-oriented.

You are also

• Compliance and internal audit professionals in financial services industry
• Seeking opportunity to be part of a global management consulting firm with work-life balance and new ways of working
• Keen to be part of an interesting project for our global financial services practice

Your key responsibilities

Compliance Testing

• Analysis of HKMA & SFC rules and regulations
• Identification of key risks and controls
• Design compliance test plan on the design and operating effectiveness of controls to confirm compliance with applicable rules, regulations and policies
• Conduct walkthrough meeting with relevant business stakeholders to understanding the control processes
• Review relevant materials, including policy and procedures, and transaction materials
• Analyse transaction information and trading data to assess compliance with applicable rules and policies
• Identify areas requiring attention and assessment of relative risk
• Preparation of reports for reviews and monitoring checks
• Presentation and discussion of findings/action plans and recommendations for enhancement

Internal Audit

• Conduct risk-based audit engagements on business line/functional department, financial product/investment related sectors
• Identify control deficiency/weaknesses/areas of system and business operations for improvements
• Communicate with the auditee regarding the audit findings and recommendations
• Follow up on the progress of rectification implementation to ensure prompt and satisfactory completion
• Assist in preparing audit reports and other work report

You know that you can do the job if you have…

• Degree in Finance, Accounting or related disciplines, preferably with CPA, CIA or CISA qualification
• At least 3 years of compliance and/or internal audit experience in Big 4, accounting and consulting firm and/or financial services industry
• Familiar with key regulatory requirements, risks, processes and controls front-to-back in banks, insurance companies, and/or wealth management
• Knowledgeable in SFC and HKMA regulatory requirements
• Possess critical thinking and strong analytical and problem-solving skills
• Excellent interpersonal and communication skills
• Mature, able to work under minimal supervision
• Good command of spoken and written English and Chinese
• Immediately available is highly preferred

RGP benefits and culture

• Chance to work on-site with global clients and exposure to diversified client portfolios
• Continuous learning and development

If the above sounds like an exciting role and you are ready for a career in consulting, we love to hear from you!

Equal Opportunity Employer

RGP is proud to be an Equal Opportunity Employer and committed to creating an inclusive environment for all employees. We do not discriminate on the basis of race, religion, national origin, gender, pregnancy, carer’s responsibilities, sexual orientation, gender identity, age, physical or mental disability, and encourage all applicants to apply.

Find out more about RGP and our solutions
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