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 t