Overview
Join to apply for the Global Markets Auditor (Vice President) role at Nomura.
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura serves individuals, institutions, corporates and governments through its three business divisions: Wholesale (Global Markets and Investment Banking), Wealth Management, and Investment Management. For further information about Nomura, visit www.nomura.com. Instinet, a trading arm of Nomura, also operates as a broker that executes trades for asset management firms, hedge funds, insurance companies, mutual funds and pension funds. For further information about Instinet, visit www.instinet.com.
Department Overview:
The Global Internal Audit department is a key part of Nomura’s corporate governance, and its primary objective is to review the company's control environment and report any weaknesses identified to the Audit Committees and senior management. The EMEA Internal Audit department comprises 53 professionals with responsibilities across Global Markets, Instinet, Investment Banking and Investment Management, as well as Corporate functions including middle and back office support, Risk Management, Compliance and Information Technology. Audit coverage is managed functionally by Global Portfolio Directors, with regional and legal entity oversight by regional heads. The Head of EMEA Internal Audit is also Nomura Wholesale Division Global Head of Internal Audit, based in London. The Head of Americas Internal Audit is responsible for Instinet. The Internal Audit department has adopted a fully integrated audit approach and business auditors are expected to work closely with IT auditors on complex and often global audits.
Role and focus:
This role is suited to a highly motivated candidate who has experience auditing business processes relating to Global Markets and an Equities brokerage environment, who is driven to make an impact in a global organisation and grow their career to the next level. In addition to controls over business processes, an understanding of technology controls would also be an advantage.
Main duties of the role:
* Manage and support internal audits of Global Markets and Instinet businesses, in addition to other areas such as Investment Banking and / or Crypto Assets.
* Actively take part in all stages of the audit from audit planning and fieldwork through to documenting and agreeing issues and the audit report with key auditees, raising value-added control improvements to senior management.
* Manage and perform risk assessments across Global Markets, Instinet and other businesses using the departmental risk assessment methodology.
* Manage interaction with key Global Markets and Instinet stakeholders. Assist with the continuous monitoring programme including regular meetings with key auditees and evaluating any changes in the risk profile which might result in a change in the audit plan, risk assessments or audit universe.
* Execute audits in accordance with departmental standards and conduct effective risk assessments on processes/functions during the audit. Ensure consistent delivery of assignments on time and to quality of methodology standards.
* Support IA’s strategic initiative for Data Analytics by being an active supporter and contributor to this initiative. Utilise data analysis to improve and enhance the audit approach.
* Direct and carry out pre-implementation reviews, special projects, ad hoc investigations and advisory work where required.
* Follow-up of issues that are raised in audit reports.
* Continually seek to improve audit and departmental processes.
Skills, experience, qualifications and knowledge required:
* Strong background and experience of auditing Global Markets and Equity Brokerage (equities), and supporting operational processes, in a brokerage or financial institution that is subject to global regulatory standards.
* Strong leadership skills: ability to motivate, coach and develop staff; capable of engaging with auditees and senior management.
* Relationship Management: proven ability to build strong relationships with auditees and manage upwards at senior levels across the organisation.
* Experience of Front-to-Back audits within a Global Markets or brokerage environment.
* Experience of performing complex audit projects and multiple audits concurrently.
* Strong analytical skills with ability to identify key risks and control weaknesses, with risk and commercial focus.
* Effective communication skills, both oral and written.
* Strong time and project management skills, with a track record of delivering to deadlines.
* A bachelor’s degree or higher in a relevant field; experience as a Business Auditor in financial services, Consulting or Big 4 preferred.
* Chartered Accountancy (ACA/ACCA/CISA) or equivalent preferred.
* Knowledge of general auditing principles and standards, and experience with agile audit techniques.
* Experience of using data analytics to gain audit assurance would be beneficial.
Other information
* Right to Work: The UK Government has visa requirements; we can consider overseas applicants requiring a Tier 2 Skilled Worker visa only if a genuine vacancy exists for a qualified role.
* Diversity & Inclusion: Nomura is an equal opportunity employer. We value diversity and are committed to creating an inclusive environment. We welcome all applications and do not discriminate on age, disability, gender identity/expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.
* Reasonable adjustments: If you require assistance due to a disability or long-term health condition, please contact us.
* Nomura is an Equal Opportunity Employer.
Seniority level
* Mid-Senior level
Employment type
* Full-time
Job function
* Accounting/Auditing and Other
* Industries: Accounting, Banking, and Financial Services
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