Internal Audit Associate - Global Markets and Securities Services

Join a team that evaluates and reports on management’s internal controls and helps strengthen the business. You’ll collaborate with Lines of Business and support functions through a comprehensive audit program. You’ll contribute insights on control design and effectiveness in a fast-moving financial services environment. If you bring intellectual curiosity, strong judgment, and a passion for financial services, this role offers meaningful impact and growth. 

As an Internal Audit Associate – Global Markets and Securities Services within the Asia Pacific Commercial & Investment Bank Audit team, you will play a crucial role in conducting risk-based audits across Markets and Securities Services, Sales and Research businesses. You will work closely with regional and global audit teams, offering insights on control design and effectiveness in a dynamic environment. Your responsibilities include executing audits, assessing risks, planning, testing, evaluating controls, reporting, and validating issues, while recommending improvements for emerging challenges. You will provide timely updates to senior audit management and stakeholders on various controls and industry developments. Clear and persuasive communication of audit results is essential to influence outcomes. 

You’ll join the Internal Audit Department, an independent function that evaluates and reports on management’s internal controls. You’ll be part of the Asia Pacific Commercial & Investment Bank Audit team based in Hong Kong. You will utilize computer-assisted auditing tools and explore opportunities for continuous monitoring and automated auditing. Building strong relationships with key stakeholders is vital, as is staying informed on regulatory changes and emerging risks. You will adapt to changing priorities, participate in regional/global audits, and foster a culture of integrity, respect, teamwork, excellence, and innovation.

Job responsibilities 

• Execute risk-based audits across the CIB Markets, Securities Services, Sales and Research businesses, including risk assessment, planning, testing, control evaluation, reporting and issue validation; recommend enhancements to address emerging issues and weaknesses. 
• Provide timely updates and insights to senior audit management and stakeholders on business, operational, risk, and technology controls, as well as thematic and industry developments
• Communicate audit results and issues clearly and persuasively to influence outcomes, both verbally and in writing
• Employ computer-assisted auditing tools and identify opportunities for the use of continuous monitoring and automated auditing
• Build and maintain strong working relationships with key stakeholders across the organization
• Stay current on regulatory changes, market events, and emerging risks impacting the business and the firm to shape ongoing audit coverage in partnership with the broader audit team
• Adapt to changing priorities and environments
• Participate in regional and global audits, including travel within and across regions as needed
• Foster a culture of integrity, respect, teamwork, excellence, and innovation

Required qualifications, capabilities, and skills 

• Minimum 3 years of experience in audit, controls, compliance, or regulatory roles within financial services, a major accounting firm, or a regulatory body
• Bachelor’s degree in Accounting, Finance, or related discipline
• Strong command of internal control concepts and audit methodology, with the ability to assess control adequacy and effectiveness
• Proven ability to execute audits and operate effectively in a global environment while managing multiple projects
• Demonstrated ability to multitask, deliver on time and on budget, and adjust to changing priorities
• Intellectual curiosity and a growth mindset, with accountability for continuous development and staying current on regulatory changes and audit/data methodologies
• Attention to detail and initiative in problem solving
• Strong team orientation, supporting colleagues through collaboration and information sharing
• Flexibility to travel regionally and globally for audit engagements
• Excellent communication and interpersonal skills, with the ability to articulate and present complex or sensitive issues to management

Preferred qualifications, capabilities, and skills

• Professional certifications such as CPA, CA, CIA, CAMS, or equivalent
• Advanced skills in Excel or Access
• Proficiency in Japanese will be preferred to liaise with stakeholders based in Japan 
• Experience with automated auditing or data tools (e.g., Alteryx, ACL)
• Willingness to travel approximately up to 20–30%