Job Title: IAU-Auditor

Job Code: 5529

Country: IN

City: Mumbai

Skill Category: Audit

Description:

Nomura Overview:
Nomura is an Asia-headquartered 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 four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant 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.

Nomura Services India, (Powai) supports Nomura’s businesses around the world. Powai’ s world class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support have played a key role in facilitating Nomura’s global operations and are an integral part of Nomura’s global expansion plans. The Powai operation is a critical part of the platform to support the growth of Nomura’s global business.

Role & Responsibilities of the Position in Brief:

Position Responsibilities:

Conducting internal audits for business processes within various Divisions such as Compliance and Legal, with limited or no guidance. This includes planning of execution of audits, as well as timely and effective escalation of control deficiencies, documentation, and also validation of management’s remediation of audit issues.
Assisting Internal Audit in risk assessments and monitoring performance and developments on a continual basis, and to provide inputs into formulation of the Audit plan

Qualification

Essential

CA/ MBA or equivalent

Desirable

ACAMs, CIA, or equivalent

Key Skills:

Essential

Have a strong ability to understand and audit various business processes, identify risks and mitigating controls in the process.
Well versed with general audit practices and standards.
Have a reasonable understanding of capital markets processes especially those related to Compliance monitoring.
Have the ability to communicate at various levels and across multiple regions and teams.
Have capabilities in documenting processes, and drafting issues and remediation plans.
Have the ability to assess if issue remediation work performed by Management is satisfactory.
Should be available to work from office or remotely as required by the company’s policies.
Ability to deliver to deadlines (budget and time).

Desirable

Strong Communication and Interpersonal skills
Team player
High degree of initiative
Strong analytical skills
Exposure to Capital Markets/ Investment Banking audits
Reasonable understanding of related topics like Information Security, BCP, IT Risk
Ability to work in shifts if need be
Ability to work in a multi-cultural environment
Exposure to project management disciplines

Position Specification:

Desired Experience (in years): At least 6 – 10 years of experience in financial services industry or public accounting supporting financial services