Head Of Internal Audit

Position Overview

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

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.

• Functional reporting: Board of Directors and Corporate Auditors. The role is independent of the business execution lines to protect its objectivity.
• 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.
• Solid reporting to head of global IA from HR perspective.

Key Responsibilities

• Following key responsibilities need to be executed independently by the person.
• Conduct risk assessments based on the Company's business strategy, regulatory obligations, and risk profile
• Develop and execute the annual audit plan and a medium-term internal audit enhancement roadmap
• 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.
• Independently assess the progress and effectiveness of remediation and business improvement measures
• Identify structural and root causes, not only individual control failures
• Report findings to the Representative Directors, the Board of Directors, and the Corporate Auditors
• 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
• Follow up on remediation and recurrence-prevention actions until they are verified as effective
• Enhance internal audit policies, procedures, quality assurance, documentation, and audit trails
• Coordinate with external advisers and the Group Internal Audit function
• 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)

• Experience in internal audit, risk management, compliance, or a related control function — at a financial institution, audit firm, or comparable environment
• Ability to independently design and run risk-based audits, from planning through reporting and remediation follow-up
• Ability to give objective, constructive challenge to senior management and business functions, and to hold independence under pressure
• Understanding of the governance role of the Corporate Auditors, and the ability to support them as assisting staff while preserving audit independence
• Strong Japanese-language communication and report-writing skills
• Business English level communication and report-writing skills
• 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)

• Experience in IT audit, system risk, or cybersecurity audit
• Experience working with global teams in English or Chinese
• Experience supporting regulatory inspections, remediation programs, or business improvement initiatives
• Professional qualifications such as CIA, CPA, CISA, or equivalent

Candidate Profile

• Focuses on structural and root causes, not only individual control failures
• Keeps Internal Audit independent while building effective working relationships with management and audited functions
• Builds a sustainable, repeatable audit framework that does not depend on one person's expertise
• Sets priorities and drives execution in a fast-changing environment

Benefits

＜雇用形態＞

雇用形態：正社員

雇用期間の定め：無

定年：65歳

継続雇用制度：有

派遣労働の該当性：非該当

試用期間：3カ月~6ヶ月（試用期間中は正社員と条件同一）

＜給与＞

賃金形態：月額制

賞与：業績賞与（会社業績・個人業績による）

昇給：入社後応相談・会社規程による

諸手当：特になし

通勤交通費：全額支給

＜勤務地＞

・東京都渋谷区

・最寄駅：渋谷駅

・受動喫煙対策：屋内全面禁煙

・転勤無：原則は東京オフィスで就業していただきますが、日本でのオフィス拡大時には転勤の可能性がございます。

＜勤務時間＞

勤務時間：9:00-17:30

実働時間：7.5時間

休憩時間：60分

残業の有無：有

裁量労働制：無

高度プロフェッショナル制度：無

＜休日・休暇＞

・完全週休2日制

・年間有給休暇（初年度15日～）

・年間休日120日以上

・年末年始

・年次有給休暇

・慶弔休暇

・育児休暇

・介護休暇等

・産前・産後・育児休暇制度（※取得実績あり）

＜社会保険＞

・健康保険

・厚生年金保険

・雇用保険

・労災保険

＜制度・福利厚生＞

・通勤手当：全額支給

・定年65歳

・継続雇用制度：有

・OJTを通じて学んでいただきます

・残業手当有

・社内懇親費有