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 three business divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment 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.
Function Overview:
Experienced business auditor covering International Wealth Management, reporting to the Regional Portfolio Director – Wealth Management and Asset Management . The principal role involves defining and executing assurance work over the regional business. The candidate will work closely with members of the Internal Audit team and some limited travel may be required.
Responsibilities:
- Perform risk assessments of Nomura’s businesses and assist in developing the annual audit plan
- Lead, plan and execute audits of the bank’s business (and other audits if required) and work closely with IT Audit and Data Analytics specialists on integrated audits
- Identify emerging risks, draft and report audit findings promptly to line management and senior management and suggest practical and innovative solutions
- Follow up audit recommendations post-audit, assess residual risk, validate remedial work performed and document and close issues
- Perform and document aspects of Internal Audit’s quarterly continuous monitoring programme, in order to identify changes to risk assessments, audit plan or audit universe
- Learn, understand and apply the department’s audit methodology
- Supervise and coach junior team members
Requirements:
- Minimum 10 years of relevant experience in private banking, wealth management business with demonstrated exposure to offshore banking, regulatory requirements, investment products across asset-classes including alternatives, back-office processing and ideally risk management.
- At least 10 years of professional experience (can be inclusive of external audit, consulting, banking, regulatory) with 3 years of internal audit experience in the financial sector is strongly preferred
- Demonstrated experience defining business requirements for data analytics for private banking / wealth management audits
- Strong oral and written communication skills are required, as the role involves drafting audit reports, communicating findings to senior management, and interacting with global stakeholders
- Must be able to work independently and proactively, demonstrating a strong sense of ownership and commitment to delivery
- Must be able to multi-task
- Must have the confidence to deliver tough messages and have difficult conversations
- An accounting or quantitative background or other professional qualification is expected, although not essential for the right candidate
- Some international experience is strongly 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.
