Company overview
Nomura is an Asia-based 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 three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com
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Department Overview
The department is a key part of the firm's corporate governance and the department’s primary objectives are to review the company's control environment and report any weaknesses identified to the Audit Committee and senior management.
The Nomura Global Wholesale Internal Audit department in Asia ex-Japan (AEJ) comprises 30 professionals across Singapore, Hong Kong and Korea, who have between them responsibilities across all business lines and support/control functions in the region.
Duties of the Role
Reporting to the AEJ Regional Portfolio Director for Global Markets and Investment Banking Internal Audit, this role will be responsible for leading and participating in integrated audits of Global Markets and Investment Banking businesses. The integrated audits cover front office and supporting control functions including Market and Credit Risk Management, Product Control / Middle Office, Technology and Compliance.
The role involves interacting with senior stakeholders including business and control function heads to understand and assess the risks across a range of complex products and make value added control improvement recommendations.
As well as performing audit reviews, responsibilities include risk assessments, continuous monitoring, validating major control enhancements, reporting results to senior management, and contributing towards strategic and innovative changes to improve audit effectiveness.
The primary focus of the role is Global Markets, although the role also offers the possibility to cover other businesses.
Key objectives critical to success
- Lead and/or participate in global and regional integrated Global Markets audits and deliver the Audit Plan.
- Identify and agree value added control improvements with senior stakeholders
- Support risk assessments of a range of complex Global Markets businesses, and perform continuous monitoring to assess emerging risks.
- Develop working relationships with desk heads and senior corporate function stakeholders to ensure strong understanding of the business.
- Collaborate effectively with subject matter experts within the audit team (e.g. Market Risk, Credit Risk, Compliance and Technology).
- Work with data analytics experts to develop and implement data analytics and automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.
- As a seasoned professional applies solid understanding of audit standards, policies, and local regulations to provide timely audit assurance.
- Contributes to the development of audit process improvements as well as internal audit methodology.
- Effectively collaborate with Global and Regional Portfolio Directors across all regions.
Skills, experience, qualifications and knowledge required
- Strong background and experience of Capital Markets auditing in a major financial institution, Big 4 firm, or consulting firm
- Strong analytical skills with the ability to identify key risks and identify control improvements
- Strong verbal and written communication skills in English.
- Strong in project management and building relationships
- Accountancy qualification preferred or equivalent industry experience
- Bachelor’s degree or equivalent
- Knowledge of general auditing principles, and best practices and standards preferred
Skills, experience, qualifications and knowledge not required but beneficial
- Data analytics
- Some overseas experience preferred
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.
DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.
Nomura is an Equal Opportunity Employer
SFID: 5563
