Job Title:  Internal Auditor - Instinet Audit Associate

Job Code:  1896
Country:  US
City:  New York
Skill Category:  Internal Audit
Description: 

The base pay range for this position at commencement of employment is expected to be between $130,000 and $150,000 per 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 www.nomura.com.

 

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

 

 

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

The Internal Audit department adopts an integrated audit approach and the successful candidate will work closely with Regional Audit Heads and Global Portfolio Audit Directors.

 

Key responsibilities;

The Associate Audit position is an auditor role within Nomura Internal Audit. It reports to the Executive Director, Regional Portfolio Director responsible for audits of the Instinet global equity trading business.  The role involves ongoing coordination with members of other Internal Audit teams covering IT, Operations, Global Market, Finance, Legal & Compliance, and Risk Management.  The role also involves ongoing coordination with members of other regional and cross functional Internal Audit teams across New York, London, and Hong Kong.

  • Participate in business audits and other internal audit reviews focusing on end to end processes and key manual and automated controls
  • Evaluate the strength and viability of control structures and procedures within the broker-dealer;
  • 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 trading, supervision, financial reporting, management reporting, operations, and data integrity
  • Track implementation of recommended processes and procedures designed to strengthen internal controls
  • Build relationships with front office, back office, compliance, technology, and risk management to support Internal Audit's objectives to provide advice on business and control improvements and to monitor risks
  • Conduct periodic monitoring of risk areas to identify emerging risks and trends
  • Share information with other Internal Audit team members 

 

Skill and Experience Requirements

  • Experience with the audit of equity trading, and the related operations, compliance, and finance areas in a broker-dealer or investment bank, or in an auditor / consultant role in a public accounting firm.
  • Knowledge of general auditing principles, including the ability to identify and document business processes, and the design and operating effectiveness of related controls.
  • Knowledge of sales, order and trade management, middle- and back- office areas in a broker-dealer or other trading organization, and familiarity with order and trade flow through the transaction lifecycle and related key control points.
  • Familiarity with the use of technology in equities trading, relevant risks, and control processes.
  • Familiarity with US equity market structure, and the regulatory and compliance environment around equities trading.
  • Ability to execute risk-based audit plans to project deadlines, in accordance with the department’s audit methodology, to assess the effectiveness of the equity trading business.
  • An ability to work across teams.
  • Confident manner and well-developed communication (both verbal and written), influencing, interpersonal and project management skills.
  • Ability to effectively communicate and discuss control issues with senior auditees.

 

Qualifications

  • A bachelor’s degree in Business or Finance.
  • Accounting or Audit professional qualifications (e.g., CPA, CISA) and / or securities licenses is a plus.
  • Knowledge of regulatory requirements in the UK, Europe, and Asian markets is a plus.

 

*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


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Nearest Secondary Market: New York City