China Head of Internal Auditing

Job Responsibilities: 1. Preside over the overall daily work of the Internal Audit Department (IAD). 2. Formulate and improve the internal audit system, rules and processes. 3. Formulate annual internal audit plans and prepare audit work plans. 4. Organize and carry out internal audit project audits, prepare audit working papers, write audit reports, make audit opinions on business management, track audit findings and concerns, supervise rectification, etc. 5. Organize and cooperate with external audit work. 6. Complete other work according to the work arrangements of the company and departments. 7. Responsible for development, approval and delivery of the strategic and operational plans for Securities China IAD. 8. Maintain relations, and manage communications/consultation process with Head Office IAD and Head Office Audit Committee members. 9. Remain in close communication with Senior Management within the firm. 10. To attend, as an observer, regular Committee meetings in accordance with the relevant Committee Structure. 11. To organize the preparation of Securities China IAD’s presentation material to A&CC 12. Overall responsibility for budgetary control/cost management across Securities China IAD based on the Annual Audit Plan. 13. Responsible for undertaking Performance and Appraisal reviews of IA staff. 14. Overall responsibility for the management of Human Resources issues within Securities China IAD in consultation with Senior Management, and Human Resources department. 15. To maintain relationship with the Regulatory authorities in China.

1. Have good professional ethics, be honest, modest, serious and rigorous. 2. Full-time undergraduate degree or above, major in finance, accounting, law, auditing and other related majors. 3. Familiar with the relevant laws and regulations and regulatory requirements of the securities industry, and familiar with the internal control system and process of securities companies. 4. More than 8 years of work experience, more than 3 years of internal audit management experience in securities companies, and those with internal audit work experience in foreign-funded securities companies are preferred. 5. Have strong project coordination and team management capabilities, good communication and coordination skills. 6. Fluent English and/ or Japanese listening, speaking, reading and writing skills. 7. Sound understanding of risk management principles and practices. 8. Sound understanding of compliance principles and practices. 9. Professionally qualified in a functional discipline e.g. Institute of Internal Auditors. (Preferable) 10. Product Knowledge – a broad and extensive knowledge of Corporate Investment Bank (wholesale bank), Securities Products, and Investment banking regulations. (Preferable) 11. Knowledge of Japanese regulations for securities business. (Preferable)

Job Description

Job Requirements

Sophia Zhang