Position OverviewWe 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 LineWe 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 ResponsibilitiesFollowing key responsibilities need to be executed independently by the person.Conduct risk assessments based on the Company's business strategy, regulatory obligations, and risk profileDevelop and execute the annual audit plan and a medium-term internal audit enhancement roadmapLead 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 measuresIdentify structural and root causes, not only individual control failuresReport findings to the Representative Directors, the Board of Directors, and the Corporate AuditorsSupport 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 linesFollow up on remediation and recurrence-prevention actions until they are verified as effectiveEnhance internal audit policies, procedures, quality assurance, documentation, and audit trailsCoordinate with external advisers and the Group Internal Audit functionDevelop the audit team and improve overall audit qualityWhy Join UsThis 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.RequirementsRequired Qualifications (Must)Experience in internal audit, risk management, compliance, or a related control function — at a financial institution, audit firm, or comparable environmentAbility to independently design and run risk-based audits, from planning through reporting and remediation follow-upAbility to give objective, constructive challenge to senior management and business functions, and to hold independence under pressureUnderstanding of the governance role of the Corporate Auditors, and the ability to support them as assisting staff while preserving audit independenceStrong Japanese-language communication and report-writing skillsBusiness English level communication and report-writing skillsInternal 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 auditExperience working with global teams in English or ChineseExperience supporting regulatory inspections, remediation programs, or business improvement initiativesProfessional qualifications such as CIA, CPA, CISA, or equivalentCandidate ProfileFocuses on structural and root causes, not only individual control failuresKeeps Internal Audit independent while building effective working relationships with management and audited functionsBuilds a sustainable, repeatable audit framework that does not depend on one person's expertiseSets priorities and drives execution in a fast-changing environmentBenefits＜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
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
Moomoo is an investment and trading platform that empowers global investors with pro-grade, easy-to-use tools, data, and insights.We believe investing is a transformative and long-term journey. That's why moomoo empowers investors with the tools and data they need to help unlock their financial potential today and in the future. Whether you're a beginner or a pro, moomoo is here to power your investment journey. With access to a wide range of both user-friendly and advanced features, including real-time market data, technical analysis tools, and in-depth order book data moomoo users can potentially enhance their trading strategies to pursue their goals.Our mission is built on three core values: transparency, innovation, and community. By using these values to guide us, we deliver a comprehensive investment experience for individuals across all trading levels.
Moomoo is an investment and trading platform that empowers global investors with pro-grade, easy-to-use tools, data, and insights.
We believe investing is a transformative and long-term journey. That's why moomoo empowers investors with the tools and data they need to help unlock their financial potential today and in the future. Whether you're a beginner or a pro, moomoo is here to power your investment journey. With access to a wide range of both user-friendly and advanced features, including real-time market data, technical analysis tools, and in-depth order book data moomoo users can potentially enhance their trading strategies to pursue their goals.
Our mission is built on three core values: transparency, innovation, and community. By using these values to guide us, we deliver a comprehensive investment experience for individuals across all trading levels.
