内部監査VP / Internal Audit VP

A global brokerage firm is looking for an Internal Audit VP. The selected candidate will lead audit activities, stakeholder engagement, and risk assessment to ensure regulatory compliance and operational effectiveness.

Responsibilities:

• Lead continuous monitoring activities and assess business changes on risks, controls, and the audit plan
• Manage complex stakeholder discussions on audit exceptions
• Prepare and review materials for regulatory requests independently
• Oversee conflict management to maintain audit independence and objectivity
• Develop and execute an impactful annual audit plan
• Produce audit reports tailored to various stakeholders and audit scenarios

Requirements:

• Background in risk and controls
• Prior background in internal auditing
• Proven background in regulatory compliance management

About the Company:

This organisation is a subsidiary of one of the largest investment banks in the world. They have found success in offering security brokerage and dealing services to several companies.

Keywords:

監査, 内部監査, コンプライアンス, リスク管理, 金融サービス, 証券, 求人, 外資系

Job Ref: US0GQK