Assistant SOX Manager - Hang Seng Bank (HK)
Hang Seng
Central, Hong Kong Island, Hong Kong, Asia Pacific


A Career with Hang Seng Bank

Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services.

We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.

Assistant SOX Manager

Financial Control Division FIN COO Department

Hang Seng's Financial Control function works closely with the Bank's stakeholders, including business partners, shareholders, regulators and external examiners.

We function as their accountants and business partners in providing comprehensive information on financial management, financial planning, financial reporting and compliance, capital planning and reporting, financial control & SOX control, tax advisory, insurance finance, and global markets finance.

As a publicly listed Bank in HK as well as a subsidiary of the HSBC Group, the Bank is governed by the compliance and disclosure of financial reporting requirement from various regulators.

It is important for Financial Control to implement, manage and enforce appropriate operational risk management through the Group’s Operational Risk Management Framework appropriately to monitor and mitigate those risk.

In addition, the SOX 404 requires annual reports of public companies listed in the US to include an assessment of the effectiveness of internal controls over financial reporting, and as a major subsidiary of HSBC Group, HASE is also required to support the ongoing SOX compliance.

Non-compliance of the SOX 404 regulation due to significant deficiency leads to qualification of financial statements and poses reputational risks with regard to market perception and investor confidence.

We are currently seeking a high caliber professional to join our department as Assistant SOX Manager.

Principal responsibilities

  • To assist in the Bank’s Sarbanes Oxley (SOX) compliance reporting functions in accordance with the relevant auditing standard issued by the Public Company Accounting Oversight Board (PCAOB), section 404 of the SOX (SOX404) and HSBC Group guidelines and ensure the ongoing implementation of SOX successfully across HASE Group;
  • Engage with Global Businesses, Global Functions and Digital Business Services to identify key controls for risk mitigation within their processes and operations.
  • Partner with Global Businesses, Global Functions and Digital Business Services in identifying and reporting of SOX controls deficiencies.
  • Conduct SOX Assurance Reviews in HASE to ensure adequate internal controls are maintained and operating effectively.
  • Prepare management information reports on internal control matters to support SOX 4 way meetings and HASE Audit Committee meetings.
  • Coordinate Internal Control Certificate sign off from business / function heads to support HASE CEO or CFO’s certification.
  • Liaise with internal and external auditors and provide support to their SOX audits.
  • Requirements

  • University degree in Accounting or related discipline with a recognized professional qualifications in accountancy
  • Knowledge of Sarbanes Oxley Act 404, COSO 2013 Framework and Operational Risk Management Framework.
  • Excellent presentation, communication (in written and oral English and Chinese) and interpersonal skills
  • Strong analytical and project management skills
  • Ability to prioritise and work independently under pressure within a team environment
  • Proven problem solving skills with ability to consider alternative solutions
  • The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (2019-nCoV), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at the HSBC Group.

    As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey.

    If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have.


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