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  • 1 week ago

jobs description

• Establish internal audit (IA) audit charter in accordance with regulatory requirements and as per Group directions, including IA terms of reference and service delivery approach.
• Determine internal audit scope in terms of risk basis and develop annual plans.
• Lead and assess annual risk analysis to formulate risk-based audit plan, which should cover, but not limited to, FS analysis, Fraud management, Governance, Internal control, cyber security, data privacy, compliance matters (e.g. AML/KYC, transaction monitoring, trade surveillance), procurement and outsourcing, to name a few.
• Prepare and present reports that reflect audit’s results and document process.
• Identify gaps and recommend risk aversion measures and cost savings.
• Maintain open communication with the local management, statutory auditor and other stakeholders such as compliance committee members.
• Document process and prepare audit findings memorandum and present it to the board and senior management.
• Engage in... continuous knowledge development regarding regulatory rules, guidelines, best practices and the result of public hearing conducted by the regulator.
• Determine an adequate budget to support IA planned activities
• Establish clear performance standards for internal auditors and the internal audit function
• To monitor and review procedures and processes aligned to guidelines of regulations and compliance.
• To lead the development and implementation of compliance and risk guidelines, rules, and procedures.
• To support any group initiatives and projects.
• Any other responsibilities deemed appropriate and necessary by the company.

【求められる経験・スキル / Required Experience And Skills】
• Bachelor’s degree in accounting, business, finance related or law would be preferred.
• At least 10 years in a retail brokerage..
• Familiar with the Fintech arena and comfortable in a fast-paced environment.
• Capable of working independently.
• Familiar with license application and requirements from the regulators.
• Able to set up policies and procedures from scratch.
• Excellent communication skills in both English and Japanese.

【学歴】

大学卒業以上

【職種 / type of occupation】

法務、コンプライアンス、内部統制

【給与 / salary】

年収 1,000 〜 1,500万円

【賞与】

NA

【雇用形態 / employment status】

正社員

雇用期間

期間の定めなし

【就業時間 / working hours】

09:00~18:00

【休日休暇 / holiday】

土曜日 日曜日 祝日

【保険 / social insurance】

健康保険 厚生年金保険 雇用保険

受動喫煙防止措置

敷地内禁煙

【特長 / features】

外資系企業, 土日祝休み, 完全週休2日制, 新規立上げメンバー

【業種 / industry】

証券

※詳細はお仕事のご紹介時にお伝えします

Job ID: VAC-251131
Tokyo Japan

salary-criteria

Apply - Head of Internal Audit Tokyo