Job Title:  Internal Audit - Legal & Compliance Global Portfolio Director - Executive Director

Company overview

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

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 EMEA comprises over 40 professionals, split across Trading, Sales and Investment Banking businesses as well as Technology, Risk Management, Legal and Compliance, Operations and Finance specialists, reporting to the EMEA Head of Internal Audit.

The Internal Audit (IA) department adopts an integrated audit approach and the Legal & Compliance Global Portfolio Director will work closely with Regional Audit Heads and other Global Portfolio Audit Directors (GPDs).

Role:

Reporting into the Global Head of Wholesale Internal Audit and the Regional Head of EMEA Internal Audit, the Legal & Compliance GPD will be an experienced professional responsible for Internal Audit global coverage of all legal and compliance related audit activities.  The GPD will have extensive knowledge and experience of key regulatory requirements including, but not limited to Financial Crime, in all key jurisdictions including Japan, US, UK, Asia ex-Japan and Europe. The role will include: developing the legal and compliance global audit strategy, delivery of the legal and compliance audit plan, risk assessments, continuous monitoring, overseeing issue validation, assisting with various audits that may have a legal and compliance component and being responsible for key relationships with Global stakeholders. 

Key Responsibilities:

• Responsible for all legal and compliance audit activities globally. Primary responsibility for designing and implementing the Global Internal Audit Strategy for Legal & Compliance, managing Legal & Compliance related audits from planning through to report issuance, as well as risk assessments, continuous monitoring, and issue follow up / validation.
• Oversee and manage the Legal & Compliance audit team to deliver the audit plan timely and in accordance with departmental standards.
• Maintain strong independent working relationships with senior management and stakeholders, identifying emerging risks, and raising important value adding control improvements to senior management.
• Provide coaching to team members on all matters relating to legal & compliance.
• Effectively collaborate with Regional Heads of Internal Audit, Global and Regional Portfolio Directors across all regions.
• As a seasoned professional, apply strong understanding of internal audit standards, policies, and local regulations to provide timely audit assurance.
• Direct and carry out pre-implementation reviews, special projects, ad hoc investigations and advisory work where required.
• Assist non-technical audit colleagues in understanding legal & compliance related risk and controls and related metrics.
• Support IA’s strategic initiative for Data Analytics by being an active supporter and contributor to this initiative. Advocate and develop audit colleagues to use data analysis to help identify audit issues.
• Support IA’s strategic initiative for Risk Culture by being an active supporter and contributor to this initiative.

Skills, experience, qualifications and knowledge required:

• Certified Anti-Money Laundering Specialist (CAMS) is required.
• Professional certification such as Associate Chartered Accountant (ACA), Certified Internal Auditor (CIA) or equivalent is preferred but not a requirement.
• Experience of working in a senior role, with global responsibilities, within an internal audit function at a global investment bank. Experience should include, but not be limited to, assessing conformance with key regulatory frameworks, educating other professionals in legal and compliance techniques as well as conducting legal and compliance reviews.
• Strong background and experience of helping senior management understand and measure legal and compliance risk issues within an investment bank and either developing, overseeing or validating related remedial actions.
• Good knowledge and understanding of the workings of Global Markets, Investment Banking and corresponding corporate functions.
• Relationship Management: Proven ability to build strong relationships with senior auditees and can effectively manage upwards at senior levels. Able to network and manage relationships at senior levels across the organisation and with key regulators.
• Strong analytical skills with the ability to identify key risks and control improvements and to agree control improvements with senior stakeholders.
• Strong communication skills, both oral and written.
• Strong time and project management skills, consistently delivering to deadlines (budget and time).
• Good knowledge of systems development practices and processes.
• Strong leadership and management skills: A proven track-record of demonstrating maturity and leadership, acts as a role model and holds self and others to high standards of excellence. Able to motivate, coach and develop staff to achieve departmental and personal objectives.
• Sound judgement on the criticality and impact of issues identified, with a risk and commercial focus.

Nomura competencies

Trusted Partner

• Besides having a high level of expertise as a financial service professional, strive to retain clients’ trust
• Make appropriate decisions in all circumstances to ensure that Nomura will remain a Trusted Partner

Entrepreneurial leadership

• Drive change across the organization by predicting change in the environment

Teamwork Collaboration

• Collaborate with different people across the organization, and leverage the diversity to contribute to the growth and profitability of Nomura as a whole organization

Influence

• Drive strategies and clarify responsibilities of one’s business area, and motivate others to contribute towards business success

Integrity

• Influence others to fully understand the significance and importance of corporate philosophy, professional ethic, compliance, risk management, and code of conduct, and make decisions to take actions accordingly in any circumstance

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. If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa) we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.

Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment.  A member of staff will be happy to help.

Nomura is an Equal Opportunity Employer