Internal Audit

The Internal Audit Department has approximately 40 members and conducts audit and monitoring activities in coordination across the group and globally. This role focuses mainly on internal auditing for securities companies, including group companies. Audits are conducted according to an annual risk-based audit plan and include thematic and department-level reviews.

Responsibilities include auditing the head-office divisions of Daiwa Securities Group and Daiwa Securities, overseas offices, and group companies. The role also covers audits of sales offices through activities such as sales-office inspections. After learning audit procedures and building business knowledge as an audit team member, the employee will progress to work as a chief auditor and gain experience across a broad range of audit areas.

Required experience includes practical business-audit work at an audit firm or in an internal audit department. System audits and J-SOX are excluded from this requirement. Candidates must also have experience at a financial institution or a record of supporting financial institutions at a consulting firm.

Preferred qualifications include experience in a securities company’s sales offices or compliance department, data analysis or digital-transformation achievements in second- or third-line functions, and the CIA certification.

Possible changes to the work location include company-designated locations, including telework locations, and possible changes to duties include company-designated work. A reference check may be requested during selection.