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
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 department in EMEA comprises 38 professionals, split across business, risk and IT audit specialists reporting to the Global Head of Internal Audit for Wholesale, who is based in London.
Duties of the Role
Conduct internal audits of all business areas across the Wholesale Division and Asset Management in EMEA, reporting to the Global Portfolio Director for Operations and Finance. The Vice President Business Auditor - Wholesale Operations will take primary responsibility for audit planning, fieldwork, and reporting findings and agreeing action plans with key auditees.
Continuous Monitoring of Wholesale Division, including maintaining relationships with key auditees and evaluating any changes in the risk profile of the departments which might result in a change in the audit plan, risk assessments or audit universe.
Follow-up of issues and action plans raised in reports.
Perform risk assessments, at least annually, across the Wholesale Division and Asset Management, using the departmental risk assessment methodology.
Carry out special projects, ad hoc investigations and advisory work where required.
Skill and Experience Requirements
Strong background and experience of auditing Wholesale Operations in a major financial institution. Knowledge of Client Assets, Know Your Client processes and/or Transaction Reporting is essential.
Ability to forge strong relationships with senior auditees and influence control initiatives
Strong analytical skills with the ability to identify key risks and formulate audit plans
Sound judgement on the criticality and impact of issues raised
Confident manner and strong communication skills, both oral and written
Experience of running regional projects
Experience in coaching and managing audit teams - developing individuals and performing appraisals
Strong time and project management skills, consistently delivering to deadlines (budget and time)
Internal Number: 4760098
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