Daiwa Capital Markets America Inc. (“DCMA”), was incorporated in 1964. DCMA is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers. DCMA’s ultimate parent company is Daiwa Securities Group Inc.

Position Summary:

Perform ongoing Internal Audits of DCMA’s integrated business operations and technology. Assists in the development of Internal Audit programs and performs audits as a team lead, team member or independently in accordance with departmental procedures. Prepares detailed audit reports and works with auditees to implement effective solutions to eliminate issues identified during the audit. Performs follow-up reviews as necessary. Performs special reviews as required.

Responsibilities:

• Coordination of audits and the related preparatory/field work.
• Prepare or update audit programs.
• Perform testing as detailed in the audits programs.
• Identify internal control deficiencies and provide recommendations in addressing those weaknesses.
• Prepare audit reports that detail audit findings and recommendations.
• Perform follow-up reviews of management’s corrective actions based on management’s responses.
• Interact with and provide assistance to senior management on business developments and/or changes.
• Perform special projects/review as directed by Senior Management.

Qualifications:

• College degree, preferably in Accounting (CPA a plus) or information technology (CISA a plus). Industry qualifications (Series 7, 63, 24) a plus.
• Approximately 7-10 years securities industry and internal audit experience. Alternatively, someone with extensive Operational Control or Operational Risk background will be considered.
• Self-starter with the ability to work independently and deliver positive results under pressure and follow through to conclusion and resolution of issues. Ability to communicate effectively both verbally and in writing. Ability to manage junior staff.
• Knowledge of computer operations and audit analytics. Experience with Microsoft Word, Excel and PowerPoint.

What’s In It for You

Daiwa Capital Markets America Inc. offers a competitive salary commensurate with experience and a comprehensive total rewards package which includes:

• Competitive Benefits Package (Medical, Dental and Vision)
• Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability)
• Flexible Spending Accounts (FSA)
• Employee Assistance Program (EAP)
• Comprehensive health and wellness benefits
• Parental Leave
• 401(k) with company match
• Paid Time Off and holidays
• Professional development, educational assistance and training programs
• Community Engagement Programs

Daiwa has a hybrid work program in place, with opportunities for remote work depending on the nature of the role and needs of your department.

DCMA provides equal employment opportunities for all applicants and employees. We are committed to providing a work environment that is free of discrimination and harassment. DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws