社名
社名非公開
職種
法務、コンプライアンス、内部統制
業務内容
...
• 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
• 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.
保険
健康保険 厚生年金保険 雇用保険
休日休暇
土曜日 日曜日 祝日
給与
年収1,000 ~ 1,500万円
賞与
NA
show more
社名
社名非公開
職種
法務、コンプライアンス、内部統制
業務内容
• 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
• 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.
保険
健康保険 厚生年金保険 雇用保険
休日休暇
土曜日 日曜日 祝日
給与
年収1,000 ~ 1,500万円
賞与
NA
show more