Internal Auditor Global Markets

Job title: Internal Auditor Global Markets

Corporate Title: Associate

Department: Internal Audit

Location: New York, NY

The base pay range for this position at commencement of employment is expected to be between $130,000 and $150,000 per year. (see below footnote for additional compensation and benefits information).

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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.

Aon’s Benefit Index®: Nomura’s benefits rank #1 amongst our competitors.

Department overview:

The Internal Audit department is a key part of Nomura’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 Internal Audit department has over 190 staff that are located in major cities around the world. The Nomura Global Wholesale Internal Audit department in the Americas comprises 40 professionals, split across Trading, Sales and Investment Banking businesses as well as Technology, Risk Management, Legal and Compliance and Finance specialists, reporting to the Americas Head of Internal Audit.

Key responsibilities;

Reporting to the Americas Global Markets Audit Technology Portfolio Director who is responsible for the Global Equities and Securitized Products IT audit portfolio globally, the Internal Auditor Global Markets will be responsible for working as part of an integrated team to audit Global Markets businesses.

The role involves working with technology and control stakeholders to understand and assess the technology risks across a range of products and make value added control improvement recommendations to senior management. The role covers systems supporting structured and complex businesses as well as vanilla businesses across all major asset classes (Credit, Rates, FX, and Equities).

The role involves using data analytics and developing automated testing to assess risks and controls to identify internal control weaknesses during internal audit reviews and continuous auditing.

The audits cover Front Office Trading and Sales together with supporting control functions including Market and Credit Risk Management, Product Control / Middle Office, Technology and Compliance.

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.

Skill and Experience Requirements

• The primary skillset required is prior experience of data analysis. The candidate must be able to cite examples of applying data analysis skills and tools in a business or educational context.
• Experience of trading systems, businesses, and the related operations, compliance, and finance areas in a broker-dealer or investment bank, or in an auditor / consultant role in a public accounting firm.
• Experience of coding e.g. using Python and other languages, to provide insight into risks and/or controls such as IT general controls for e.g. change management, and analysis of data integrity to provide an audit opinion on the completeness, accuracy of system-based processing.
• Knowledge of artificial intelligence tools and prompt engineering would be an advantage.
• Knowledge of databases: SQL, Elastic, Graph technologies, and Linux environments would be beneficial.
• Knowledge of data visualization tools such as Power BI, Tableau, QlikView, etc. would be beneficial.
• Knowledge of general auditing principles, including the ability to identify and document technology and business processes, and the design and operating effectiveness of related controls.
• Confident manner and well-developed communication (both verbal and written), influencing, interpersonal and project management skills.

Qualifications

• A bachelor’s degree in Data Science, a Quantitative subject, Computer Science, Business, Finance, or related discipline.
• Accounting or Audit professional qualifications (e.g., CISA) and / or securities licenses would be advantageous.
• Knowledge of regulatory requirements in the US, Europe, and Asian markets would also be beneficial.

Nomura Leadership Behaviors

Explore Insights & Vision

• Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.

Making Strategic Decisions

• Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.

Inspire Entrepreneurship in People

• Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.

Elevate Organizational Capability

• Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.

Inclusion

• Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, employee will be in an “at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors".

Nomura is an Equal Opportunity Employer