Job Title:  IAU-Auditor

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
 
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.

The role of the VP is to support the Technology Portfolio Director (TPD), based in Powai who [QX(1] [LP(2] reports to the Regional Head of Internal Audit and the Global Portfolio Director based in the US, in the definition, execution and management of the Internal Audit efforts related to Compliance, Financial Crimes, Conduct and Culture and Legal (LCC)[QX(3] [LP(4] . The candidate will be responsible to support the audit of technology components covered in the above mentioned LCC areas.

The LCC portfolio, oversees key control frameworks related to Market Abuse Surveillance, Conflicts Management, Compliance Advisory, AML/KYC, Sanctions, Anti-Bribery and Corruption (ABC), Conduct & Culture, and Legal, including the use of Master Agreements.

In this role, the VP is expected to:

• Leading and executing the IT audit reviews (Application controls & ITGC) independently in global and regional LCC audits including audit scoping, execution and reporting. Work closely with business auditors on integrated audit reviews, and report directly to the Global LCC TPD.
• Take primary responsibility for audit planning, fieldwork, finalising report findings and agreeing action plans with auditees.
• Candidate should also be able to perform Data Analytics in audits using excel and python coding.
• Support Internal Audit’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 improve and enhance the audit approach.
• Maintain strong independent working relationships with LCC technology teams, identifying emerging risks, and raising important value adding control improvements to senior management..
• Follow-up and validating audit findings raised in audit reports and tracked by Internal Audit.
• Perform risk assessments, at least annually, using the departmental risk assessment methodology.
• Carry out special projects, ad hoc investigations and advisory work where required.

Skill and Experience Requirements

• Solid experience of executing IT application audits within an investment bank. Experience should include demonstrated track record in: integrated audits, auditing application controls, auditing data integrity to provide an audit opinion on the completeness, accuracy and timeliness of system based processing, and IT general controls. 
• Solid experience of designing and executing sophisticated Data Analytics tests.
• Background and experience of auditing technology components of Compliance (including but not limited to Market Abuse Surveillance, Conflicts Management), Financial Crimes, and Conduct and Culture, in the Investment Banking business of a major financial institution.
• Experience in successfully managing complex regional and global audit projects, as well as managing multiple audits concurrently ensuring assurance activities are coordinated and resources optimized for productivity.
• Strong analytical skills with the ability to identify key risks and formulate audit plans, with sound judgement on the criticality and impact of issues raised
• Confident manner and excellent communication skills, both oral and written
• Strong time and project management skills, consistently delivering to deadlines (budget and time)
• At least 8-10 years of professional experience in audits of which 3 years of internal audit experience in the financial sector.

Qualifications

Preferred Qualifications:

• Engineering Degree or equivalent IT related degree
• CISA / CISSP or equivalent is a plus
• Knowledge of coding e.g. using Python and other languages for Data Analytics to provide more insights into risks and/or controls
• Compliance certifications such as CISI or regional equivalent

Equal Opportunity Employer:
 
Nomura is an equal opportunities employer. We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees (including promotion, transfers, assignments and beliefs). We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, career’s responsibilities, sexual orientation, gender identity, race, color, national or ethnic origins, religious belief, disability or age. Our objective is to attract job applications and applications for development from the best possible candidates and to retain the best people.