Job Title:  Internal Audit- AM/IB-Associate

Job Code:  1897
Country:  US
City:  New York
Skill Category:  Internal Audit

The base pay range for this position at commencement of employment is expected to be between $130K and $150K/year*


Company overview

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. 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


Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors


Department overview:

The department is a key part of the firm'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 department in the US comprises over 30 professionals, split across business, risk, LCC and IT auditors reporting functionally to the Global Portfolio Directors of each divisions and/or to the Regional Head of Internal Audit for the region based in the US.


Role description:

The Associate Audit position is an auditor role within Nomura Internal Audit. It reports to the Executive Director, Regional Portfolio Director responsible for Asset Management and Investment Banking businesses. The position participates in or leads Asset Management and Investment Banking audits, as well as supporting other Internal Audit activities including risk assessment, issue remediation validation and continuous monitoring and auditing. The role involves ongoing coordination with members of other Internal Audit teams covering IT, Operations, Global Market, Finance, Legal & Compliance, and Risk Management. A key aspect of the role is developing data analytics to audit more effectively, working closely with the department’s Data Analytics Subject Matter Expert.  The role also involves ongoing coordination with members of other regional and cross functional Internal Audit teams across New York, London, Singapore, Hong Kong, Powai and Tokyo.


Key Responsibilities:

  • Participate in Asset Management and other internal audit reviews focusing on end to end processes and leveraging data analytics in reviews
  • Develop data analytics and automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing
  • Develop and execute Audit Programs (Risk, Control and Testing Matrices)
  • Identify and formulate solutions to issues around financial reporting, management reporting, operations and data integrity
  • Track implementation of recommended processes and procedures designed to strengthen internal controls
  • Build relationships with Asset Management and Investment Banking management to support Internal Audit's objectives to provide advice on business and control improvements and to monitor risks
  • Assess emerging risks (e.g. ESG) affecting Asset Management and Investment Banking;
  • Evaluate the strength and viability of control structures and procedures within Asset Management and Investment Banking;
  • Conduct periodic monitoring of risk areas to identify emerging risks and trends
  • Share information with other Internal Audit team members 



Skills, experience, qualifications and knowledge required:

  • 4-5 years of Audit experience in Financial Services, preferable is Internal Audit experience

  • Understanding of data risks and data analytics objectives

  • Knowledge of general auditing principle
  • General knowledge of Asset Management or Wholesale Investment Banking businesses
  • Record of excellence in project management, building relationships and communication in both oral and written forms
  • A bachelor’s degree in Business, Finance, Accounting or Computing/Data Science 


Preferred Qualifications:


  • CPA, CIA, CFA or other relevant certifications

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience.


If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors”.



Nomura is an Equal Opportunity Employer

Nearest Major Market: Manhattan
Nearest Secondary Market: New York City