Internal Auditor - Global Markets (Equities) - Associate
On-site · Tokyo, Tokyo, Japan
Job Summary
Internal Auditor, Global Markets (Equities) – Associate responsible for auditing Global Markets activities (securities, derivatives, sales, trading, research) within Corporate & Investment Banking Audit. Responsibilities include risk assessment and planning, testing, control evaluation, issue closure, report drafting, stakeholder updates, and maintaining strong working relationships. Travel to other countries as part of audit engagements; requires adaptability to evolving regulatory changes and the ability to communicate findings to senior management. Preferred qualifications include professional certifications (CPA/CA/CIA/CAMS) and knowledge of front-to-back equity processes; advanced Excel/Access and analytics tools; travel up to 20-30%.
Required Qualifications
- 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)
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