We are seeking a Head of Internal Audit to lead and enhance our internal audit function, and to independently assess the effectiveness of the Company’s governance, risk management, and control environment.
Reporting Line
About the company
We are the Japanese subsidiary of a global financial services group, providing online brokerage services in Japan. As our business grows, we are significantly enhancing our corporate governance, risk management, and internal control framework.
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Functional reporting: Board of Directors and Corporate Auditors. The role is independent of the business execution lines to protect its objectivity.
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The role also serves as designated staff supporting the Corporate Auditors (監査役) in performing their duties. Independence from the Representative Directors and the business execution lines is ensured for this function.
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Solid reporting to head of global IA from HR perspective.
Key Responsibilities
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Following key responsibilities need to be executed independently by the person.
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Conduct risk assessments based on the Company’s business strategy, regulatory obligations, and risk profile
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Develop and execute the annual audit plan and a medium-term internal audit enhancement roadmap
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Lead audits covering compliance, client assets, operations, outsourcing, AML, and personal information management, marketing activities and any other matters happening in the company, IT is currently audited by external party but follow up required by internal audit team.
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Independently assess the progress and effectiveness of remediation and business improvement measures
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Identify structural and root causes, not only individual control failures
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Report findings to the Representative Directors, the Board of Directors, and the Corporate Auditors
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Support the Corporate Auditors as their designated assisting staff — providing audit results, information, and operational support to enable the Auditors’ oversight, while maintaining independence from the business execution lines
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Follow up on remediation and recurrence-prevention actions until they are verified as effective
Coordinate with external advisers and the Group Internal Audit function
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Develop the audit team and improve overall audit quality
Why Join Us
This is a high-impact role with direct access to the Representative Directors, the Board of Directors, and the Corporate Auditors. You will play a central part in strengthening the internal audit function and establishing a sustainable three-lines governance framework fit for a regulated Japanese financial institution — while drawing on the expertise of external advisers and global teams.
Requirements
Required Qualifications (Must)
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Experience in internal audit, risk management, compliance, or a related control function — at a financial institution, audit firm, or comparable environment
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Ability to independently design and run risk-based audits, from planning through reporting and remediation follow-up
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Ability to give objective, constructive challenge to senior management and business functions, and to hold independence under pressure
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Understanding of the governance role of the Corporate Auditors, and the ability to support them as assisting staff while preserving audit independence
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Strong Japanese-language communication and report-writing skills
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Business English level communication and report-writing skills
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Internal audit experience at a securities firm or worked in auditing company (big4 or any similar) to assist financial instituions auditing functions more than 5 years.
Preferred Qualifications (Better)
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Experience in IT audit, system risk, or cybersecurity audit
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Experience working with global teams in English or Chinese
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Experience supporting regulatory inspections, remediation programs, or business improvement initiatives
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Professional qualifications such as CIA, CPA, CISA, or equivalent
Candidate Profile
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Focuses on structural and root causes, not only individual control failures
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Keeps Internal Audit independent while building effective working relationships with management and audited functions
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Builds a sustainable, repeatable audit framework that does not depend on one person’s expertise
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Sets priorities and drives execution in a fast-changing environment