Internal Auditor - Global Markets (Equities) - Associate

If you are a strategic thinker, passionate about the latest developments in the financial industry and want to learn more about it, you have found the right team.

 

As a Global Markets Auditor, Associate within our Commercial & Investment Banking Audit team, you will be exposed to audit execution of Global Markets business which includes securities and derivatives sales, trading and research groups. You will work as part of the regional and global audit teams. If you are an experienced professional who possesses strong auditing skills and understanding of internal control systems within a financial institution, a strong team player as well as a self-starter, able to multi-task and work under pressure in a dynamic business environment, you may be a good fit for our team.

 

Job Responsibilities

• Assessing the control environment of the markets businesses, with a view to providing recommendations for improvement where emerging issues or weaknesses are identified.
• Leading and executing audits efficiently, including risk assessment, audit planning, testing, control evaluation, report drafting and follow-up and verification of issue closure.  

• Providing senior audit management and internal stakeholders timely updates and insight on the design and effectiveness of business, risk, operation, and technology control practices, thematic firmwide control and industry developments.

• Communicating and influence effectively, both verbally and in written form, audit results and issues.

• Establishing and managing strong working relationships with key stakeholders in the organization.
• Keeping abreast of evolving regulatory changes, market events and emerging impacting futures businesses to drive appropriate ongoing audit coverage in close partnership with the wider Audit team.

• Demonstrating flexibility and adapt to dynamically changing work environments, including travel to other countries as part of audit engagements. 

• Fostering a business climate and culture that encourages integrity, respect, diversity, excellence and innovation.

Required Qualifications, Capabilities, and Skills

• Six years audit or relevant compliance/regulatory experience within financial services, a major accounting firm, or a regulatory body.
• Bachelor’s degree in Accounting, Finance, or a related discipline.
• Experience leading audits and executing audit methodology from planning through issue closure.
• Strong knowledge of internal control concepts and the ability to evaluate control design and effectiveness.
• Proven ability to manage multiple projects and adapt to changing priorities.
• Strong written and verbal communication skills with the ability to present complex issues to senior management.
• Proficiency in business Japanese and English (written and verbal).

Preferred Qualifications, Capabilities, and Skills

• Professional certification such as CPA, CA, CIA, CAMS, or equivalent.
• Knowledge of equities markets and front-to-back processes.
• Advanced skills in Excel and Access; experience with automated auditing or analytics tools (e.g., Alteryx, ACL).

• Ability to travel as required (up to 20-30%).