Total 15 Director/C-Level Quality Assurance / Control job vacancies in Marsden Park

• Manage a portfolio of SME audit clientele
• Ensure the audit engagements are carried out in accordance with the Firm's policies and procedures and with approved professional standards;
• Direct the performance of the work and resolve technical matters;
• Develop and maintain client relationships and identify new business development opportunities

Requirements:

• A recognised degree in Accountancy or equivalent professional accounting qualifications
• Relevant experience of delivering audit and other assurance services in large/mid-tier international public accounting firms
• Strong technical skills
• Possess an initiative and analytical mind
• Excellent communications and interpersonal skills

Job Description & Requirements

Responsibilities:

• Participate in internal audit engagements of various organisations, to assess the adequacy and effectiveness of internal controls through conducting process walkthroughs and documentation testing
• Conduct risk assessments to assess the risk profile and highlight key risk areas for various clients
• Perform compliance reviews related to the relevant legislations, guidelines and internal policies
• Be meticulous and accurate in documenting workpapers based on documents reviewed
• Assist in internal audit planning, execute fieldwork and draft internal audit reports
• Work independently and prepare deliverables (e.g. working papers and reports) under established timelines

Requirements:

• Degree in Accountancy, Computer Science or Information Systems
• Experience in BFSI would be a strong advantage.
• Good understanding of risks and internal controls.
• Experiences in internal audit and SOX engagements
• Possess initiatives, logical thinking and good analytical abilities.
• Certification in CIA would be a plus point.

Responsibilities:

· Perform IT audit, regulatory compliance assessment and IT risk assessment, in areas covering IT general controls, application controls, business cycle and IT security review.

· Perform third party assurance engagement covering business and IT controls

· Understanding of COSO and IT Assurance Framework issued by ISACA.

· Able to evaluate IT internal controls and identify opportunities for controls improvement.

· Strong analytical and problem solving skills.

· He/she must have demonstrated knowledge of IT operations and experience executing audits.

· He/she must have Identify and evaluate complex technology and business risks and internal controls which mitigate risks, and related opportunities for internal control improvement.

Requirements:

· Degree in Information Systems, Information Technology, Computer Science, Business Studies, Actuarial Science or Cyber Risks or equivalent.

· Experience in IT audit, IT internal audit and/ or other related disciplines relevant to the

role.

· Excellent written English and interpersonal skills, a team player and communicator, and a self-starter.

· Pro-actively identify other areas of business initiatives and changes in the business environment and

· assess their impact on the business control environment

· Able to handle multiple tasks and assignments

· Logical thinking, good and positive attitude, fast learner and good team player

· Able to work under pressure and meet deadlines

We are partnering with a leading global asset management firm on opportunities within their Middle Office Governance team.

This is a newly created team with headcounts at the Assistant Director level and at the Manager level.

These roles offer the opportunity to work closely with investment teams, supporting governance, controls, and investment compliance initiatives while partnering with senior stakeholders across the business.

Why consider this opportunity?

• High visibility and autonomy within the function
• Close partnership with Fund Managers and senior stakeholders
• Opportunity to broaden governance, controls, and investment compliance expertise
• Leadership and career progression opportunities within a growing team

Key responsibilities include:

• Investment compliance governance and controls
• Pre- and post-trade monitoring activities
• Investment guideline interpretation and rule assurance
• Aladdin coding and monitoring oversight
• Stakeholder management across Investments, Compliance, and Risk
• Process improvement and governance enhancement initiatives

Assistant Director

• Strong investment compliance and Aladdin/Charles River coding experience
• Proven stakeholder management skills
• Experience partnering with Fund Managers

Manager

• Experience in investment compliance monitoring
• Exposure to pre- and post-trade compliance activities
• Some Aladdin coding experience

Open to candidates from asset management or other buy-side investment compliance backgrounds.

If you would be interested in learning more, do reach out for a confidential discussion.

Company Reg No.: 201131609D | License No.: 24S2411 | Reg No: R22109164 | Valenzuela Alexandra Marie Tolentino

Job Description:

• Manage a portfolio of SME audit clientele
• Ensure the audit engagements are carried out in accordance with the Firm's policies and procedures and with approved professional standards;
• Direct the performance of the work and resolve technical matters;
• Develop and maintain client relationships and identify new business development opportunities

Requirements:

• A recognised degree in Accountancy or equivalent professional accounting qualifications
• Relevant experience of delivering audit and other assurance services in large/mid-tier international public accounting firms
• Strong technical skills
• Possess an initiative and analytical mind
• Excellent communications and interpersonal skills

Job Description:

• Manage a portfolio of SME audit clientele
• Ensure the audit engagements are carried out in accordance with the Firm's policies and procedures and with approved professional standards;
• Direct the performance of the work and resolve technical matters;
• Develop and maintain client relationships and identify new business development opportunities

Requirements:

• A recognised degree in Accountancy or equivalent professional accounting qualifications
• Relevant experience of delivering audit and other assurance services in large/mid-tier international public accounting firms
• Strong technical skills
• Possess an initiative and analytical mind
• Excellent communications and interpersonal skills
• Minimum of 7 years of audit experience

Nomura Overview

Nomura is an Asia-headquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking. Founded in 1925, the firm practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.

Role Overview

We are seeking a highly experienced Compliance professional to take up the Head of Compliance Strategy role to lead the critical compliance initiatives across our organization in Asia, and serve as the primary liaison person with our Japan headquarters compliance team. This senior role will drive transformation projects, oversee comprehensive compliance testing programs, and provide compliance advisory to our Global Markets business, while ensuring seamless coordination with Japanese regulatory requirements and corporate governance standards and maintaining strong relationships with Japan headquarters.

Key Responsibilities

Transformation

• Lead, drive and execute the compliance transformation program to enhance organization compliance posture, with close collaboration with Head of Central Compliance
• Manage transformation projects’ timelines and deliverables, and coordinate with cross-functional teams to ensure successful program implementation
• Identify emerging compliance risks and develop proactive transformation strategies

Compliance Testing

• Develop and oversee the Annual Compliance Testing plan in partnership with Central Compliance Head
• Establish and enhance comprehensive compliance testing frameworks
• Coordinate testing activities across multiple business units in the region and ensure testing methodologies align with regulatory expectations and industry best practices

Compliance Advisory

• Serve as a subject matter expert in providing compliance advisory to the Global Markets business, together with the GM Compliance teams in the region
• Provide day-to-day compliance guidance on trading activities, market conduct and regulatory requirements
• Interpret and implement new regulatory changes affecting global market operations, and coordinate with Japan headquarters on cross-border implications as and when required
• Conduct compliance risk assessments for new products, services, and market activities
• Understand and keep up to date with the firm’s business, products and the regulatory and commercial environment in which it operates to contribute to the implementation of appropriate compliance policies, procedures and standards

Liaison with Headquarters

• Act as the primary liaison person with our Japan headquarters compliance team on compliance / regulatory matters

Requirements

• Minimum Bachelor degree holder
• Minimum 15+ years of financial services experience, with minimum 10 years of direct Compliance experience and prior experience in supporting Japanese business due to being the primary liaison with Japan headquarters
• Fluency in both English and Japanese language (both written and spoken) in order to act effectively as the primary liaison between Japan headquarters and the Compliance team in the region
• Strong background in Global Markets compliance with good understanding of relevant products and regulations
• Strategic thinking with ability to translate regulatory requirements into business solutions across different cultural contexts
• Strong leadership and stakeholder management skills
• Excellent analytical and problem-solving skills
• Strong communication and interpersonal skills
• Experience in interpreting complex regulatory requirements and translating them into practical business guidance

Regional Disclaimers / Diversity Statement

Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.

About Airwallex

Airwallex is the only unified payments and financial platform for global businesses. Powered by our unique combination of proprietary infrastructure and software, we empower over 200,000 businesses worldwide – including Brex, Rippling, Navan, Qantas, SHEIN and many more – with fully integrated solutions to manage everything from business accounts, payments, spend management and treasury, to embedded finance at a global scale.

Proudly founded in Melbourne, we have a team of over 2,000 of the brightest and most innovative people in tech across 26 offices around the globe. Valued at US$8 billion and backed by world-leading investors including T. Rowe Price, Visa, Mastercard, Robinhood Ventures, Sequoia, Salesforce Ventures, DST Global, and Lone Pine Capital, Airwallex is leading the charge in building the global payments and financial platform of the future. If you’re ready to do the most ambitious work of your career, join us.

Attributes We Value

We hire successful builders with founder-like energy who want real impact, accelerated learning, and true ownership. You bring strong role-related expertise and sharp thinking, and you’re motivated by our mission and operating principles. You move fast with good judgment, dig deep with curiosity, and make decisions from first principles, balancing speed and rigor.

You're humble and collaborative; turn zero‑to‑one ideas into real products, and you “get stuff done” end-to-end. You use AI to work smarter and solve problems faster. Here, you’ll tackle complex, high‑visibility problems with exceptional teammates and grow your career as we build the future of global banking. If that sounds like you, let’s build what’s next.

About the team

The Legal, Risk & Compliance (LRC) team at Airwallex is a collaborative group of legal minds and risk management experts. We’re passionate about safeguarding Airwallex’s operations, fostering a culture of compliance and ethical conduct, and ensuring we navigate the global financial landscape with integrity. We provide expert guidance and support to all areas of the business, proactively identifying, mitigating, and managing legal and financial risks.

The Global Regulatory Compliance Team forms part of the second line of defence (2LOD) at Airwallex whilst operating within the larger LRC function. We are a proactive and trusted business partner committed to enabling Airwallex’s growth and strategic goals by providing an advisory and oversight role. Our team culture is collaborative, impact-driven with a focus on continuous improvement. You’ll be part of a team that values transparency, empowerment and high performance.

This role is a newly created senior role with a specific focus on our Asian business. You will be a key member of the Global Regulatory Compliance Team, based in Malaysia or Singapore and with a direct reporting line to the global team head (based in Amsterdam).

What you'll do

As Director, Regulatory Compliance, Asia you will deliver on the regulatory engagement strategy and maintain our licensing responsibilities for our regulated financial services entities across Asia. You will coordinate with all internal and external parties to ensure compliance through the communication of regulatory requirements, cross-functional collaboration to productize solutions and offerings, implementation and execution of processes and interfacing with our regulators. You will also help to continue to build our global regulatory compliance program based on the 2 lines of defence principle. You will analyse new and existing products and provide guidance to ensure that our 2LOD second line of defence controls are fit for purpose and comply with regulatory obligations and guide the first line business to enable the maturity of both customer-facing and internal back-office processes and product features.

Responsibilities:

• Leadership team member within the Global Regulatory Compliance Team for Airwallex

• Deliver the regulatory engagement strategy for the Airwallex entities in the region

• Support the Airwallex Group’s expansion by managing the regulatory compliance components of licence authorisation processes

• Act as a key stakeholder in relation to licence applications, business plan updates and information requests between Airwallex and our regulators

• Ensure that our regulatory compliance and integrity risk reporting obligations are maintained for all Airwallex Group entities in the region

• Support and / or manage on-site exams and inspections (in collaboration with our LRC colleagues)

• Advise the business with respect to regulatory change initiatives with a particular focus on how to effectively manage compliance risk attached to new laws and regulations in the jurisdictions we operate

• Develop policies, processes and provide advice in relation to regulatory risk obligations that exist within the 1st line business

• Manage regulatory compliance risk within the Airwallex Risk Management Framework and associated escalation process (inc. the Group Risk Committee)

• Advise the business in relation to conduct risk and ethics matters (where appropriate) relating to our financial services licences

• Deliver the Compliance Monitoring Program; Conduct targeted and thematic reviews on a wide range of topics to ensure appropriate organisational maturity

• Deliver the Airwallex Group’s Compliance Training for employees and conduct ad-hoc training to specific business areas as required

• Conduct ‘Proactive Special Ops’ projects to unlock business or operational issues to enable Airwallex to achieve its strategic goals more rapidly

Who you are

We’re looking for people who meet the minimum qualifications for this role. The preferred qualifications are great to have, but are not mandatory.

Minimum qualifications:

• Bachelor’s / Master’s degree in law from a recognised university or analogous Compliance qualifications / experience;

• Minimum of 10 years of experience in regulatory compliance in a regulated financial institution, FinTech, legal / consulting firm, or combination of the above;

• Familiarity with financial regulatory laws, rules, regulations and industry best practices across the Asia region;

• Significant experience in a variety of regulatory legal or compliance roles, with experience in managing teams across multiple geographies;

• Experience in dealing with the Monetary Authority of Singapore, Bank Negara Malaysia and other financial services regulators in Asia;

• Data proficiency - ability to work with data and leverage it for strategic decision-making;

• Outstanding time management, presentation, and relationship-building skills, coupled with the ability to understand the larger picture while operating in a focused manner;

• Strong leadership and team management skills, with the ability to motivate and develop high-performing teams;

• Ability to operate strategically and think creatively to solve complex regulatory compliance challenges;

• Experience with developing and/or maintaining a compliance program within a financial institution, preferably in respect of payments activity;

• Ability to work in a fast-paced start-up environment by multitasking effortlessly and managing competing priorities under demanding deadlines;

• Deep understanding of financial products/services and related conduct risk, ethics, and controls.

Preferred qualifications:

• Fintech, growth experience

• Exposure to licensing processes, regulatory expansion, and RegTech or technology-driven compliance solutions; and

Applicant Safety Policy: Fraud and Third-Party Recruiters

To protect you from recruitment scams, please be aware that Airwallex will not ask for bank details, sensitive ID numbers (i.e. passport), or any form of payment during the application or interview process. All official communication will come from an @airwallex.com email address. Please apply only through careers.airwallex.com or our official LinkedIn page.

Airwallex does not accept unsolicited resumes from search firms/recruiters. Airwallex will not pay any fees to search firms/recruiters if a candidate is submitted by a search firm/recruiter unless an agreement has been entered into with respect to specific open position(s). Search firms/recruiters submitting resumes to Airwallex on an unsolicited basis shall be deemed to accept this condition, regardless of any other provision to the contrary.

Equal opportunity

Airwallex is proud to be an equal opportunity employer. We value diversity and anyone seeking employment at Airwallex is considered based on merit, qualifications, competence and talent. We don’t regard color, religion, race, national origin, sexual orientation, ancestry, citizenship, sex, marital or family status, disability, gender, or any other legally protected status when making our hiring decisions. If you have a disability or special need that requires accommodation, please let us know.

The Director, QRM, Global QMS, R&D & PV QA is accountable for establishing, governing, and continuous advancing a robust, science- and risk-based Quality Risk Management framework across R&D & Clinical Safety Pharmacovigilance, Medical Affairs and associated quality system.

This role serves as the global QA authority for quality risk management, providing independent oversight, governance, and strategic leadership to ensure that quality risk are proactively identified, assessed, controlled, communicated, and reviewed in alignment with ICH Q9 (R1), ICH Q10, company quality standards, and global regulatory expectations. The incumbent ensures that functional and cross-functional risk management activities are consistent, proportionate, traceable, inspection-ready and appropriately escalated within the QMS and enterprise risk management structures.

JOB DESCRIPTION

1.    Global Quality Risk Management Framework

a.   Lead the design, implementation, governance and continuous evolution of the global Quality Risk Management (QRM) framework across R&D, Pharmacovigilance, Medical Affairs, and associated quality systems, in alignment with ICH Q9 (R1), ICH Q10, and applicable global GxP regulations.

b.    Establish and maintain standardized risk assessment methodologies, tools, templates, and governance models within the QMS.

c.     Define, govern and maintain risk assessment principles, risk acceptance criteria, and quality risk posture for R&D & PV and MA, ensuring alignment with enterprise risk management and global quality strategy.

d.    Own the multi-year QRM roadmap, including capability maturity, systems enablement, and integration with broader QMS and business processes.

2.    Risk Identification, Assessment & Independent QA Oversight

a.    Provide independent QA oversight and expert leadership for quality risk identification, assessments, control, communication, and review activities across the end-to-end product and system lifecycle.

b.    Oversee and challenge quality risk assessment related to, but not limited to :

         i.     RDPVMA processes and systems 

         ii.   Vendor, outsourcing and third-party activities

         iii.   Change management and transformation initiatives

         iv.   Inspection readiness, compliance, and systematic quality risks

c.     Ensure quality risks are scientifically justified, proportionate, traceable and inspection-ready, with clear linkage to QMS records, mitigation actions, and management decisions.

d.    Exercise QA authority to escalate, challenge, and influence decisions where risks are not adequately mitigated, understood, or appropriately accepted.

3.    Governance, Integration & Management Review

a.    Establish and lead quality risk governance structures, including escalation pathways and decision forum for critical, cross-functional or systemic risks.

b.    Embed quality risk management outputs into key QMS processes, including Quality Event (QE) Management, CAPA, change control, supplier oversight, audit management and Quality Management Review.

c.     Lead and shape risk-based inputs to management reviews and executive quality governance, providing clear visibility of risk trends, emerging issues, and mitigation effectiveness.

d.    Ensure alignment and traceability between functional risk registers, QMS risk records, and enterprise-level risk reporting.

4.    Digital Enablement, Metrics & Continuous Improvement

a.    Own and evolve digital QRM tools, dashboards, and analytics to support proactive, data-driven risk identification, trending, escalation, and decision-making.

b.    Define and monitor QRM performance indicators and effectiveness metrics, ensuring meaningful insights for senior management and continuous inspection readiness.

c.     Drive continuous improvement of quality risk management practices based on audit outcomes, inspection findings, key trends, and performance data.  

5.    Regulatory Intelligence, Audit & Inspection Readiness

a.    Monitor, interpret, and translate evolving global regulatory expectations and inspection trends (e.g. ICH Q9 (R1), regulatory and inspection focus area) into QRM strategy, standards and training.

b.    Provide leadership and oversight for risk-based audit preparation, inspection readiness, and regulatory interactions related to quality risk management.

c.     Support and guide organizational responses to inspection observations, audit findings, and regulatory commitment where quality risk management is impacted.

6.     Cross‑Functional & Third-Party Risk Oversight

a.    Partner closely with global stakeholders across R&D, Clinical Safety Pharmacovigilance, Medical Affairs, Regulatory Affairs, IT, Procurement, and vendor Quality to ensure effective, consistent, and compliance implementation of quality risk management.

b.    Provide governance and QA oversight of third party and vendor risk management programs, ensuring alignment between internal quality expectation and external partner practices.

c.     Influence cross-functional and matrix teams to embed risk-based thinking into strategic and operational decision-making.

7.    Training & Capability Building & Quality Culture

a.    Act as global quality risk management thought leader and champion, strengthening organizational capability through targeted training, coaching, and mentoring.

b.    Develop and deliver QRM training curricula to ensure consistent understanding and practical application of risk management principle across regional and functions.

c.     Promote and reinforce a strong quality culture that emphasizes proactive risk identification, transparency, prevention and accountability.

JOB REQUIREMENTS

- Bachelor’s degree in Life Sciences, Pharmacy, Medicine, Engineering, or a related scientific or technical discipline.

- Advanced degree (PhD, PharmD, MSc, MPH, MBA) or equivalent professional experience in a regulated pharmaceutical or biotechnology environment is preferred.

- 8–12+ years of progressively responsible experience in pharmaceutical quality, compliance, quality risk management, or regulated GxP environments, with demonstrated experience operating at a global and cross-functional level.

- Proven track record in establishing, governing and sustaining quality risk management framework within a global Quality Management System, including practical application of ICH Q9 (R1) and integration with ICH Q10.

- Strong experience providing independent QA oversight across R&D and Pharmacovigilance and Medical Affairs with exposure to multiple GxP domains (e.g. GCP, GVP, GLP, and GxP computerized systems).

- Demonstrate experience supporting regulatory inspections, health authority interactions, internal and external audits, including risk-based reparation, issue management, and inspection response.

- Experience partnering with senior stakeholders in global, matrixed organizations, influencing without authority and balance compliance, risk and business objectives.

- Experience overseeing or governing third-party, vendor, and outsourcing risks, including alignment of internal quality standards with external partner practices.

- Exposure to digital quality system, risk analytics, metrics, or dashboards is highly desirable.  

- Deep expertise in quality management principles, risk-based decision making, and proportional application of controls in regulated environments.

- Strategic and system-level thinking with the ability to translate regulatory expectations and inspection trend into practical, sustainable QRM practices.

- Strong analytical, critical thinking, and problem solving skills, with sound judgement in complex or ambiguous risk scenarios.

- Demonstrate ability to influence, challenge, and drive alignment across functions, regions, and senior leadership levels while maintaining QA independence.

- Clear, concise, and inspection‑ready communication skills, both written and verbal.

- High level of accountability, integrity, and attention to detail, with ability to balance compliance rigor with business pragmatism.

- Strong capability in coaching, mentoring, and capability building, fostering a proactive quality and risk-aware culture.

- A globally aligned, inspection‑ready Quality Risk Management framework embedded within the Global QMS and consistently applied across R&D, Pharmacovigilance, Medical Affairs, and associated activities.

- Standardized, scalable quality risk management methodologies, tools, templates, and governance models that support proportional, science‑based, and risk‑based decision‑making.

- Clearly articulated and traceable quality risk assessments, risk registers, and mitigation plans, integrated with core QMS processes and enterprise risk management structures.

- Executive‑level risk insights, metrics, and trend analyses supporting Quality Management Review, senior leadership decision‑making, and continuous improvement.

- Digitally enabled QRM dashboards, analytics, and reporting that provide transparency, early risk detection, and sustained inspection readiness.

- Robust, inspection‑ready risk governance evidence supporting regulatory inspections, audits, and health authority interactions.

- Strengthened organizational capability and quality culture, demonstrated through consistent application of risk‑based principles, effective training, and proactive risk awareness across global stakeholders.

- Effective third‑party and vendor risk oversight, ensuring alignment between internal quality expectations and external partner practices.

Responsibilities:

· Perform IT audit, regulatory compliance assessment and IT risk assessment, in areas covering IT general controls, application controls, business cycle and IT security review.

· Perform third party assurance engagement covering business and IT controls

· Understanding of COSO and IT Assurance Framework issued by ISACA.

· Able to evaluate IT internal controls and identify opportunities for controls improvement.

· Strong analytical and problem solving skills.

· He/she must have demonstrated knowledge of IT operations and experience executing audits.

· He/she must have Identify and evaluate complex technology and business risks and internal controls which mitigate risks, and related opportunities for internal control improvement.

Requirements:

· Degree in Information Systems, Information Technology, Computer Science, Business Studies, Actuarial Science or Cyber Risks or equivalent.

· Experience in IT audit, IT internal audit and/ or other related disciplines relevant to the

role.

· Excellent written English and interpersonal skills, a team player and communicator, and a self-starter.

· Pro-actively identify other areas of business initiatives and changes in the business environment and

· assess their impact on the business control environment

· Able to handle multiple tasks and assignments

· Logical thinking, good and positive attitude, fast learner and good team player

· Able to work under pressure and meet deadlines

Job Description & Requirements

Responsibilities:

• Participate in internal audit engagements of various organisations, to assess the adequacy and effectiveness of internal controls through conducting process walkthroughs and documentation testing
• Conduct risk assessments to assess the risk profile and highlight key risk areas for various clients
• Perform compliance reviews related to the relevant legislations, guidelines and internal policies
• Be meticulous and accurate in documenting workpapers based on documents reviewed
• Assist in internal audit planning, execute fieldwork and draft internal audit reports
• Work independently and prepare deliverables (e.g. working papers and reports) under established timelines

Requirements:

• Degree in Accountancy, Computer Science or Information Systems
• Experience in BFSI would be a strong advantage.
• Good understanding of risks and internal controls.
• Experiences in internal audit and SOX engagements
• Possess initiatives, logical thinking and good analytical abilities.
• Certification in CIA would be a plus point.

Job Summary

You will be supporting the front office businesses and back-office functions on a wide range of compliance activities. Compliance function is responsible for overseeing compliance risk management across corporate staff functions, including enterprise Risk. In addition, the Compliance group oversees regulatory requirements aligned to other Risk functions as well as a number of regulations and compliance programs that cross multiple lines of securities business.

You will be expected to work closely with Legal in the interpretation of laws and regulations and putting in place of internal policies and controls to address or mitigate any legal or compliance risks that the company may face in its businesses and operations

Responsibilities

• Provide regulatory compliance and AML/CFT advice, especially for Japanese Corporate Clients including its affiliates, to our BIG, Equity/Fixed Income Sales, DRSAP business.
• Support the Head of Compliance in managing the Company’s compliance with the applicable laws and regulations as well as streamlining internal policies and procedures. Especially, in relation to regulatory requirements such as Japanese fire wall restrictions on information sharing with other group entities.
• Support the Head of Compliance in internal audit related matters including audit requirement including Head Office audit inquiries for cross-border businesses.
• Track and perform gap analysis on regulatory development relevant to the company and other affiliates including Head Office and in Hong Kong.
• Provide timely and quality advisory support to internal stakeholders.
• Review new products/services process and launch, new business initiatives and licensing requirements including business collaboration with other Securities and Banking affiliates including in Tokyo and Hong Kong.
• Provide responsive, sound, coherent and consistent compliance advice, interpretation and recommendations on regulations, policies, products and business initiatives; clarify and resolve uncertainties in rules and regulations affecting business transactions and practices.
• Establish, review and update internal rules, policies and guidelines to meet best practice regulatory and industry standards, including Mizuho global policies and procedures.
• Liaise and engage with local regulators (MAS) on any regulatory concerns, and co-ordinate regulatory inspections.
• Assist and support other members of Legal and Compliance Department staff where required.

Skills and Qualifications

• 9+ years of experience in legal, compliance, operational risk management (includes audit, legal, credit risk, or the management of a process or business with accountability for compliance or operational risk) in multiple APAC markets.
• 15+ years in finance business and corporate functions includinginvestment/commercial banking and securities business.
• High degree of judgement and good problem-solving skills; result-oriented to ensure sound implementation of control and compliance processes/procedures
• Speaking/writing fluency in English and Japanese is mandatory due to frequent liaison with internal stakeholders in Head Office.
• Able to communicate clearly and work with local and regional teams.
• Proficient in Microsoft Office products.

The Information Technology Services is dedicated to creating and delivering value to our business by leveraging on IT technology. The team is responsible for delivering customer-focused solutions and high-quality IT services internally to enable our business.

We invite a highly motivated & dynamic professional to join our ITS team as a Manager/Associate Director, Technology Governance, Risk and Compliance.

Your responsibilities will include:

Governance and Audits

• Establish and maintain a robust GRC framework, reinforcing ITS information security controls and service management processes to optimise IT service quality and compliance with organisational and user requirements.
• Develop and execute comprehensive information security risk assessments, ensuring alignment with regulatory requirements such as SOX ITGC,ISO 27001, MAS OSPAR, ACRA, and ISQM1.
• Actively contribute to Enterprise Risk Management efforts, participate in Information Protection Control Reviews (IPCR), and support IT-related personal data protection activities, collaborating with pertinent departments to formulate necessary policies and action plans.
• Monitor adherence to the organisation's security policies, standards, and procedures among ITS staff, contractors, and other third parties, and enforce corrective measures as needed.
• Identify, assess, and document non-conformities with KPMG policies and relevant standards, ensuring timely remediation and compliance with organisational security policies and regulatory mandates.
• Supervise and mentor ITS personnel in GRC activities and ITS service management process mapping, providing necessary training and guidance.

IT Service Management (SMS) and Information Security Management System (ISMS) Maturity

• Lead initiatives to enhance IT Service Management System(SMS) and Information Security Management System (ISMS) maturity within the Information Technology Services (ITS) department, focusing on process optimisation and alignment with ITS strategic objectives.
• Create and implement quality assurance protocols, performance metrics, and testing procedures to evaluate the maturity of information system processing.
• Conduct periodic evaluations of ITS internal processes, performance indicators, and metrics to ensure continuous improvement.
• Gather and analyse data to pinpoint improvement opportunities within ITS operations and infrastructure.
• Undertake proactive and preventive maintenance for ITS service management processes and information systems.

Requirements:

• Bachelor’s or Master’s degree in Business, Finance, Accounting, Risk Management, Law, or related fields.
• A minimum of 6 years of relevant work experience in governance, risk management, internal controls, external audit, internal audit, or process improvement.
• Experience in Big 4 firms, Fintech, or the Financial Services industry is a plus.
• Proven leadership and people management skills.
• Strong confidence in interacting with senior stakeholders.
• Demonstrated experience in leading and managing teams.
• Strong business acumen and commercial awareness.
• Conceptual skills in qualitative and quantitative risk management methods.
• Familiarity with risk management and internal control frameworks (e.g., COSO, ISO, COBIT).
• Knowledge of various functional areas, including Finance, Procurement, HR/Payroll, Operations, Logistics, IT, Legal, and Risk Management.
• Strong communication, presentation, and project management skills.
• Ability to build effective relationships and work collaboratively with internal departments, external service providers, and global teams.
• Capability to work independently, take initiative, and collaborate effectively.
• Previous experience with industry standards and best practices such as ISO/IEC 27001, SOC 2, and NIST.
• Knowledge in Business Process Management projects, ITSM(ITIL), ITSMS processes, and working experience with ServiceNow ITSM.
• ITIL V4 certification is preferred.

Job Responsibilities

(A) Head Office Compliance & Japanese Regulation Advisory

• Provide guidance and direction in accordance with Japanese laws/regulations and HO policies/rules.
• Advise APAC offices on implementation issues and required controls relating to updates in HO policies, particularly Corporate Compliance.
• Coordinate approvals and discussions with HO for policy changes, new initiatives, and implementation matters.
• Provide advisory and review for front-office initiatives, new products/services, and new businesses from the perspective of Japanese regulations.

(B) Regional Oversight

• Enhance governance and compliance oversight for APAC offices including bank branches and group companies such as securities, bank, and consumer finance.
• Provide advisory support to strengthen compliance frameworks the bank branches and the group companies .
• Ensure to support day-to-day communication between the Head of MFC team, the Head of   Securities team as well as the Head of Branch Oversight team and the General Manager as well as Head Office, making certain that any concerns are promptly escalated to management and resolved.
• Oversee compliance reporting, documentation management, and implementation of group-wide policies.
• Drive initiatives to enhance compliance frameworks across the region, collaborating with the Heads of oversight of group companies such as securities and consumer finance.
• Coordinate with HO and local offices on group-level compliance issues.

(C) Liaison with HO

• Function as the key liaison between APAC offices and HO on compliance, regulatory matters, and policy implementation.
• Coordinate with HO on budget, expense management, and headcount/resource.

• Manage reports to HO and periodic updates.

(D) Other Assigned Duties

• Manage additional tasks and responsibilities assigned by the Department Head.

Job Requirements

• Bachelor’s degree in law (LL.B.), or equivalent.
• More than 10 years' experience in planning activities in Compliance or AML in FI (in a Japanese bank would be desirable).
• Experience in policy development, training delivery, and compliance oversight of group companies. Experience in cross-border compliance coordination is preferrable.
• Strong understanding of compliance frameworks, regulatory governance, Japanese regulations, and retail compliance.
• Knowledge of Japanese laws and regulations especially related to banking industry.
• Strong project management skills and ability to manage multiple stakeholders and to work under tight timelines.
• Strong management skills based on a solid understanding of first-line business processes and risk drivers.
• Excellent communication skills in a global environment and stakeholder management skills , native proficiency in Japanese is essential as the role will need to communicate frequently with stakeholders in Head Office, or Japanese regulators when necessary.

The Associate Director, Data Quality &Integrity (Global R&D & PV QA) provides strategic and tactical leadership for quality assurance governance of data integrity and GxP computerized systems across R&D, Pharmacovigilance (PV), and Medical Affairs (MA), with emphasis on business operational data. This role leads cross‑functional initiatives, establishes program‑level oversight frameworks, mentors and develops QA capability, and partners with senior stakeholders to ensure robust data governance, regulatory compliance, and measurable continuous improvement.

The incumbent reports to the Head of Global Data Quality and Integrity (Global R&D & PV QA).

JOB DESCRIPTION

- Leadership & Strategy Execution - 20%

·    Lead execution of key elements of the global Data Integrity strategy and ensure alignment across R&D, PV, and MA.

·    Translate strategic objectives into multi‑year roadmaps and annual operating plans for data integrity and computerized systems oversight (business operational data focus).

·    Serve as a senior subject matter expert for data integrity and GxP computerized systems governance, advising leadership on risk‑based prioritization and compliance posture.

- Quality & Compliance Oversight – 30%

·    Provide QA leadership for high‑risk or complex GxP computerized systems and related business operational data processes across the system lifecycle.

·    Oversee risk‑based validation, periodic review, change governance, and sustained compliance activities; drive consistent application of global QA standards.

·    Establish and monitor portfolio‑level compliance oversight mechanisms (governance forums, escalation pathways, decision rights) for inspection readiness.

- Audit, Inspection & Risk Management – 20%

·    Lead QA activities for audits and regulatory inspections related to computerized systems and data integrity; coordinate cross‑functional readiness and responses.

·    Review and approve investigations, deviations, and CAPAs for complex/high‑impact issues; ensure root cause quality and effectiveness verification.

·    Identify, trend, and mitigate emerging compliance risks; drive proactive risk reduction actions across functions and vendors.

- Stakeholder Engagement & People Leadership — 20%

·    Partner with senior stakeholders across R&D, PV, MA, IT, and Global QMS / eCompliance to drive alignment on governance, priorities, and risk acceptance.

·    Provide coaching and mentoring to QA staff and/or cross‑functional teams; support capability building and adoption of consistent DI practices.

·    Lead cross‑functional teams to deliver complex initiatives and resolve escalations that span multiple organizations or regions.

- Continuous Improvement & Innovation – 10%

·    Drive continuous improvement initiatives using metrics, analytics, and trend insights to improve DI performance and inspection readiness.

·    Support adoption of advanced analytics, AI‑enabled solutions, and emerging technologies to strengthen QA oversight and enable digital transformation in Global R&D & PV QA.

JOB REQUIREMENTS

·    Bachelor’s degree or Master's degree in Life Sciences, Pharmacy, IT, or related discipline is required.

·    10–15 years of experience in Quality Assurance, IT compliance/CSV, and/or regulated pharmaceutical environments supporting R&D, PV, and MA.

·    Demonstrated leadership of complex, cross‑functional initiatives for data integrity and GxP computerized systems governance (portfolio/program level).

·    Strong experience leading audit and inspection readiness activities, including review/approval of investigations and CAPA strategies for high‑impact issues.

·    Experience operating effectively in global, matrixed organizations with senior stakeholder engagement and enterprise risk management.

·    Experience leveraging metrics, analytics, and AI‑enabled technologies to drive continuous improvement and digital transformation in QA oversight and data integrity governance.

·    Fluency in English (oral and written); Chinese (oral and written) is advantageous.

·    Demonstrated ability to set direction and provide QA governance for data integrity and computerized systems across R&D, PV, and MA, including business operational data.

·    Strong strategic thinking and execution discipline, translating strategy into roadmaps, operating plans, and measurable outcomes while managing competing priorities and risk‑based decisions.

·    Proven capability to lead complex, cross‑functional and multi‑regional initiatives, influencing senior stakeholders and driving alignment on governance and compliance posture.

·    Excellent risk management and decision‑making skills, anticipating emerging risks, driving preventive actions, and ensuring investigations and CAPA effectiveness for high‑impact issues.

·    Highly effective executive communication skills, with the ability to clearly articulate risk, strategy, and compliance expectations to technical and non‑technical leaders.

·    People leadership and capability building, coaching and mentoring QA staff and building sustainable practices through standardization, training, and lessons learned.

·    Data‑driven and improvement‑oriented, leveraging metrics, trend analysis, analytics, and new technologies to improve compliance outcomes and inspection readiness.