Audit Manager

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 and enhancing audit quality, efficiency through the use of data and emerging technologies. The Audit Manager will have regular liaison with HKEX Group Internal Audit (GIA), especially regarding business audit work, innovation, data, and quality as LME Internal Audit forms part of GIA.

Responsibilities

• Independently manage and lead 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 and 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 for coverage.
• Manage stakeholder relationships and proactively provide risk and control advice to improve the LME Group’s control environment; 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 strategic objectives.
• Stay current with industry developments and business trends; conduct research on industry and risk topics to enhance audit coverage and add value to the LME Group.
• Engage in ad‑hoc audit activities such as review of key firm‑wide 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 workshops to promote an innovation culture and increase audit efficiency.
• Participate in proof‑of‑concept projects involving AI, Python and other emerging technologies to explore applications in audit and uplift the audit lifecycle.
• Develop and maintain dashboards, data models, and automation tools to support audit planning and continuous risk monitoring.
• Collaborate with audit teams to integrate data‑driven approaches and conduct data analysis to identify trends, anomalies, and control deficiencies.
• Assist LME IA Management in delivering issues, risks and trends that impact the firm’s control environment to senior management and the Audit Committee.
• Support preparation of materials for senior management, Audit Committee and regulators.

Academic and Professional Qualifications Required

• University graduate in Accounting, Finance, Business Administration, Data Science or a related field.
• Professional qualifications such as ACA, CIMA, ACCA, IIA or equivalent; possession of at least one is required.

Required Knowledge and Level of Experience

• 5–10 years of experience in internal or external audit, risk management or compliance, preferably with professional firms or financial institutions.
• Knowledge of financial products, listing, exchange, clearing and settlement rules and regulations.
• Proficiency in tools such as Python, Power BI, Power Automate, Excel VBA or SQL (preferred).
• Familiarity with data visualization, ETL processes and automation workflows.
• Eagerness to learn and apply new technologies in a business context.

Skills Set and Core Competencies Required for the Role

• Team‑oriented with strong ownership and accountability.
• Ability to drive and adapt to change in a fast‑moving environment.
• Excellent 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 organized.
• Sound judgment and professionalism.
• Commercial awareness.
• Good report writing and presentation skills.

Equal Employment Opportunity Statement

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 you can bring in terms of education, ethnicity, race, sex, gender identity, expression, nation of origin, age, languages spoken, colour, religion, disability, sexual orientation and beliefs. We want every LME employee to feel our commitment to showing respect for all and encouraging open collaboration and communication.