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.

Participate in internal audits of Global Markets and Instinet businesses.
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Work in close collaboration with the Global Markets Credit / Financing Risk Subject Matter Expert and regional business auditors and interact with Global Markets and Instinet businesses and corporate stakeholders
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Evaluate and assess front to back controls over business and credit risk controls benchmarking against best practices, identifying value-added improvements, and assist in reporting results to senior management
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Provide audit coverage for businesses across all Global Markets asset classes and Instinet, encompassing securitized products, equities (including prime finance), structured and flow rates (including repos), structured and flow credit and exotic and flow fx.
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The position has responsibility for annual risk assessments, continuous monitoring, audit execution, and audit issues follow-up. This includes regular meetings with key auditees and evaluating any changes in the risk profile of which might result in a change in the audit plan, risk assessments or audit universe.
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Interact with Global Markets business / corporate stakeholders and internal audit teams.
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Leverage data analysis techniques to enhance efficiency and effectiveness of Global Markets and Instinet Internal Audits for covering business, credit and financing risks.
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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 and methodology standards.
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Direct and carry out pre-implementation reviews, special projects, ad hoc investigations and advisory work where required.
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Continually seek to improve audit and departmental processes.
Mind Set:
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Minimum of 5+ years’ experience at a leading Financial Institution, Equity Brokerage, Risk consulting or audit firm either:
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internal audit covering business / credit / financing risk domains, or
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credit risk related coverage in the front office business or risk management
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Experienced of Equities business in an electronic trading environment would be advantageous
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Good understanding of business / credit / financing risk and controls, and risk governance practices at leading financial institutions. A good understanding of internal audit processes would be beneficial.
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Working knowledge of various financing and derivative products
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Exposure to credit due diligence, credit analysis, credit risk mitigation techniques, legal documentation for loans, derivatives and securities financing transactions, credit ratings, and credit exposure monitoring, would be beneficial.
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Strong analytical skills and verbal and written communication skills
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Ability to interact with global teams across geographies in a multi-national set-up
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Master’s degree or professional certification in finance related fields, preferably CFA (Chartered Financial Analyst), FRM (Financial Risk Manager), Chartered Accountant (CA) or in Internal Audit / Risk Management domains.
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Knowledge of Wholesale Banking / Equity Brokerage / Global Markets trading businesses
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Exposure to risk governance processes at large financial institutions
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Data science / data analytics / familiarity with coding / prompt engineering would be beneficial

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.