The VP, Internal Audit (Compliance & Regulatory) role offers the opportunity to play a key part in strengthening governance, risk management and regulatory compliance within a leading organisation in the securities industry. This position is ideal for an experienced audit professional who enjoys leading complex audit engagements, working closely with senior stakeholders and contributing to a strong control environment across the business.
Responsibilities
Lead reviews of compliance, legal and regulatory processes across the business.
Assess controls related to financial crime prevention, monitoring activities and data management.
Plan, execute and deliver audit engagements, including testing, analysis and reporting.
Review business processes to identify risks, control gaps and opportunities for improvement.
Prepare clear and comprehensive audit documentation and reports in both Japanese and English.
Monitor issue remediation activities and validate the completion of agreed corrective actions.
Manage audit projects, oversee team deliverables and collaborate with stakeholders on audit findings and recommendations.
Requirements
5+ years of internal and/or external audit experience within a financial services organisation or a Big Four professional services firm.
Experience auditing compliance and regulatory functions.
Knowledge of financial crime prevention, transaction monitoring and/or data governance.
Proven ability to lead audit engagements from planning through to completion.
Strong written communication skills in both Japanese and English.
Ability to work independently while collaborating effectively with a wide range of stakeholders.
Professional certifications such as CPA, CIA or CMA are advantageous.
Benefits
Comprehensive social insurance coverage and allowances in accordance with Japanese labour law.
Paid leave for congratulatory and condolence events.
Relocation leave.
Child sickness leave.
Vaccination leave.
Special disaster leave.
Public service leave.
Family care leave.
Special leave for childbirth by spouse/partner.
Childcare leave.
About the company
A company in the securities industry, this organisation is recognised as a market-leading financial institution with a strong focus on governance, regulatory compliance and risk management. The business operates within a highly regulated environment and is committed to maintaining robust controls and operational excellence.