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 practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.
1) Role overview
Experienced business auditor covering a portfolio of Wholesale (Global Markets and Investment Banking) businesses across Asia Ex-Japan, reporting to the Head of South East Asia Audit. 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 in other regions, with some limited travelling required.
2) Team overview
Nomura AEJ Internal Audit currently comprises 27 permanent employees, of which 18 are located in Hong Kong and nine in Singapore. Our team performs risk-based audits across 12 countries in the region, and provides advisory services to senior management. The regional audit team covers all businesses in the region including Global Markets, Research, Investment Banking, Wealth Management, Asset Management, Retail and Merchant Banking.
Responsibilities will cover all of AEJ and include:
Performing risk assessments of Nomura's businesses and assisting in developing the annual audit plan
Leading, planning and executing audits of the bank's business (and other audits if required) and working closely with IT Audit on integrated audits
Identifying emerging risks, drafting and reporting audit findings promptly to line management and senior management and suggesting practical and innovative solutions
Following up audit recommendations post-audit, assessing residual risk, validating remedial work performed and documenting and closing issues
Performing and documenting aspects of Internal Audit's quarterly continuous monitoring programme for Wholesale, in order to identify changes to risk assessments, audit plan or audit universe
Identifying emerging risks and control themes to be included in management and Audit Committee presentations
Learning, understanding and applying the department's audit methodology
Supervising and coaching junior team members
Key Experience & Skills
Must have a good understanding of the investment banking industry and possess strong technical knowledge of at least some Global Markets products. It would also be beneficial to have some knowledge of wealth management, asset management and retail brokerage products
Must have strong oral and written communication skills in English
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 experience of managing teams
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
Ten years of professional experience is expected (external audit, investment banking, regulatory) although not essential for the right candidate, but four years of internal audit experience in the financial sector is strongly preferred
Some international experience is strongly preferred
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.