Business Audit - Associate

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.

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, analyzing 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
• Communication: Ability to effectively communicate with auditees at various levels and collaborate with Internal Audit team members
• Project Management: Strong organizational and time management skills with ability to manage multiple priorities and meet deadlines
• Analytical Skills: Good analytical abilities to identify risks, execute audit procedures, and document findings clearly
• Professional Development: Commitment to continuous learning and staying current with industry developments
• Qualifications: A bachelor's degree and Progress toward or completion of relevant professional qualifications (e.g., CIA, CPA, CFA)

Qualifications

• 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
• Communication: Ability to effectively communicate with auditees at various levels and collaborate with Internal Audit team members
• Project Management: Strong organizational and time management skills with ability to manage multiple priorities and meet deadlines
• Analytical Skills: Good analytical abilities to identify risks, execute audit procedures, and document findings clearly
• Professional Development: Commitment to continuous learning and staying current with industry developments
• Qualifications: A bachelor's degree and Progress toward or completion of relevant professional qualifications (e.g., CIA, CPA, CFA)

Benefits

Nomura’s benefits rank #1 amongst our competitors according to the Aon’s Benefit Index®. The total compensation package for this position may also include other elements, including 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).

Pay

The base pay range for this position at commencement of employment is expected to be between $110K and $120,000 per year. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

Schedule

The role is full-time.