Business Audit - Associate

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.

About the role

The Associate, Investment Management Audit position is a key contributor role within Nomura Internal Audit, reporting to the Regional Portfolio Director responsible for Investment Management. This position participates in local and global audits of Nomura's Investment Management business, while supporting other Internal Audit activities including risk assessment, issue remediation validation, and continuous monitoring. The role involves evaluating compliance with regulatory requirements, primarily those promulgated by the SEC.

Responsibilities

• Audit Execution: Execute audit fieldwork and contribute to audit planning and reporting. Perform detailed testing procedures, document findings, and support audit deliverables within planned timelines in accordance with audit methodology.
• Risk Assessment Support: Assist in assessing risks and evaluating control structures and procedures within Investment Management operations.
• Continuous Monitoring: Support continuous monitoring activities by reviewing metrics, analysing relevant internal and external materials, and identifying changes to the risk profile.
• Issue Validation: Perform audit procedures to validate the remediation and closure of audit issues.
• Data Analytics: Execute data analytics tests and support the development of automated testing procedures to identify internal control weaknesses during audit reviews.
• Documentation: Prepare comprehensive audit workpapers and contribute to audit reports and presentations.

Requirements

• Minimum of 5 years working experience in Audit within the Asset Management industry.
• Good knowledge of Asset Management business processes, risks and controls.
• Experience participating in Asset Management or financial services audits.
• Strong organizational and time management skills with ability to manage multiple priorities and meet deadlines.
• Good analytical abilities to identify risks, execute audit procedures, and document findings clearly.
• Commitment to continuous learning and staying current with industry developments.

Qualifications

• A bachelor's degree.
• Progress toward or completion of relevant professional qualifications (e.g., CIA, CPA, CFA).

Skills

• Ability to effectively communicate with auditees at various levels and collaborate with Internal Audit team members.
• Strong project management skills.

Leadership Behaviors

• Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
• Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
• Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
• Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
• Inclusion: Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

Pay

The base pay range for this position at commencement of employment is expected to be between $110,000 and $120,000 per year. The total compensation package may also include a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave). 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.

Benefits

• 401(k) eligibility.
• Paid time off benefits, including vacation, sick time, and parental leave.
• Medical, financial, and other benefits.