Nomura is an Asia-based 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 three business divisions: Retail, Asset 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.
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 EMEA Global Markets Internal Audit team comprises both Business and IT Auditors reporting in to the Head of Global Markets Audit (based in US) and the EMEA Head of Internal Audit. The Global Markets IT auditors are primarily responsible for executing technology based audit work within the Wholesale division covering sales and trading activity across Fixed Income, Equities, Research and Investment Banking systems.
Duties of the Role
The main duties of the role are:
* Manage and lead the EMEA Global Markets application audits and provide support in integrated EMEA Global Markets audits. The position is closely aligned with the regional Global Markets business audit manager and counterparts in EMEA and other regions and reports directly to the Global TPD responsible for the Global Markets IT audit portfolio.
* The position has primary responsibility for EMEA annual audit planning and risk assessment, continuous monitoring, audit execution and quality assurance, audit report management, and audit issues follow-up.
* Manage and execute audits in accordance with departmental standards and conducting effective risk assessments on processes/functions (impact versus likelihood) during the audit. Ensure consistent delivery of assignments on time and to quality.
* Manage the continuous monitoring programme for the coverage of Global Markets IT, including regular meetings with key auditees and evaluating any changes in the risk profile of the technology which might result in a change in the Global Markets audit plan, risk assessments or audit universe.
* Management of issues raised in audit reports.
* Manage and perform risk assessments, at least annually, across Global Markets IT using the departmental risk assessment methodology.
* Direct and carry out pre-implementation reviews, special projects, ad hoc investigations and advisory work where required.
* Assist non-technical audit colleagues in understanding technology risk and controls.
* Support IA's strategic initiative for Data Analytics by being an active supporter and contributor to this initiative. Advocate and develop audit colleagues to utilise data analysis to improve and enhance the audit approach.
* Continually seek to improve the Global Markets IT audit and departmental processes.
Skill and Experience Requirements
* Strong understanding of Global Markets sales and trading activity and associated IT processes gained through a combination of education and work experience in a global financial institution that is subject to global regulatory standards and mandates.
* Strong leadership and management skills: Has a proven track record of demonstrating maturity and leadership, acts as a role model and holds self and others to high standards of excellence. Able to motivate, coach and develop staff to achieve departmental and personal objectives.
* Relationship Management: Has proven ability to build strong relationships with auditees and can effectively manage upwards at senior levels. Demonstrates clear understanding of the business needs and exceeds expectations. Able to network and manage relationships at senior levels across the organisation and in the wider financial services industry.
* Has preferably strong experience and understanding of the Global Markets sales and trading business areas and product lines as well as technology architecture and systems supporting these areas. Has an in-depth knowledge of IT concepts to be able to guide and direct scoping decisions with a risk focus.
* Strong background and experience of managing and executing IT application audits within an investment bank. Experience should include, risk assessment, IT general controls, and auditing of data integrity to provide an audit opinion on the completeness, accuracy and timeliness of system based processing.
* Experience of successfully managing complex regional and global audit projects, as well as managing multiple audits concurrently.
* Sound judgement on the criticality and impact of issues identified, with a risk and commercial focus.
* Strong experience of project management and systems development practices and processes.
* Strong analytical skills with the ability to identify key risks and formulate audit plans.
* Confident manner and strong communication skills, both oral and written.
* Strong time and project management skills, consistently delivering to deadlines (budget and time).
Right to Work
The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa), we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.
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