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Location
東京都
Salary
¥12000000 - ¥18000000 per annum
Job Type
Permanent
Ref
BH-18528
Contact
Yasuko Ono
Posted
約2年前
HEAD OF INTERNAL AUDIT

Responsibilities:
• 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.

Requirements:
• 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.
• This role is not limited to only internal audit as it is a start-up environment.
• 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.