Global Markets Technology Auditor - Vice President

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment 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.

About the role

The Internal Audit department is a key part of Nomura’s corporate governance. Its primary objectives are to review the company's control environment and report any weaknesses identified to the Audit Committee and senior management. The department has over 190 staff located in major cities worldwide. The Americas Global Wholesale Internal Audit team comprises 40 professionals, split across Trading, Sales, Investment Banking, Technology, Risk Management, Legal, Compliance, and Finance, reporting to the Americas Head of Internal Audit.

Reporting into the Americas Global Markets Audit Technology Portfolio Director, this role is responsible for delivering the audit plan for Global Markets applications—particularly Global Equities and Securitized Products—as well as risk assessments, continuous monitoring, and issue validation.

Responsibilities

• Lead, manage, and execute Global Markets technology audits in accordance with departmental standards, from planning through report issuance, including risk assessments, continuous monitoring, and issue follow-up/validation.
• Ensure consistent, timely, and high-quality delivery of audit assignments.
• Improve Global Markets IT audit and departmental processes for impactful results.
• Support Internal Audit’s Data Analytics strategic initiative by contributing to and utilizing data analysis to enhance audit approaches.
• Maintain strong, independent working relationships with senior technology management, identifying emerging risks and proposing value-adding control improvements.
• Apply solid understanding of internal audit standards, policies, and regulations to provide timely and comprehensive audit assurance.
• Direct and carry out pre-implementation reviews, special projects, ad-hoc investigations, and advisory work to complete the department’s audit plan.
• Assist non-technical assurance colleagues in understanding technology risk and controls and their impact on audits.

Requirements

• Minimum of 6 years of IT audit experience within an investment bank.
• Strong background in managing and executing IT application audits, including risk assessment, IT general controls, and auditing of data integrity.
• Good knowledge of Global Markets businesses and associated IT activity, particularly Equities (including execution services) and Securitized Products.
• In-depth knowledge of IT concepts to guide scoping decisions with a risk-focused approach.
• Experience managing complex regional and global audit projects, as well as multiple concurrent audits, ensuring coordinated assurance activities and optimized resource productivity.
• Strong understanding of trading systems (Credit, FX, Rates, Securitized Products, and Equity) and supporting processes, gained through education and work experience in a global financial institution subject to global regulatory standards.
• Knowledge of Global Markets sales and trading business areas, product lines, and supporting technology architecture and systems.
• Strong analytical skills, professional skepticism, and ability to identify key risks and control improvements while agreeing on enhancements with senior stakeholders.
• Excellent oral and written communication skills, particularly for audit reports and management/committee presentations.
• Strong time and project management skills, consistently delivering on deadlines (budget and time).
• Proven leadership and management skills, including maturity, role-model behavior, and holding self and others to high standards of excellence.
• Ability to motivate, coach, and develop high-performing staff to achieve departmental and personal objectives.
• Proven ability to build strong relationships with auditees and manage upwards at senior levels, including networking across the organization and the wider financial services industry.
• Sound judgment on the criticality and impact of identified issues, with a risk and commercial focus.

Qualifications

• Bachelor’s degree or higher in Computing, Sciences, or Engineering, supported by work experience as a Technology Audit lead in a financial services firm, consulting, or Big 4 firm.
• CISA, CISM, CISSP, or equivalent technical qualification preferred.
• Knowledge of general auditing principles, best practices, and standards.
• Knowledge of coding (e.g., Python) to provide insight into risks and/or controls is beneficial.
• Knowledge of data science, artificial intelligence tools, and prompt engineering is an advantage.

Leadership Behaviors

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

Pay

The pay range for this position at commencement of employment is expected to be between $180,000 and $200,000 per year. The total compensation package may also include a sign-on bonus, restricted stock units, discretionary awards, and a full range of medical, financial, and other benefits (including 401(k) eligibility and paid time off such as vacation, sick time, and parental leave). Base pay may vary depending on market location, title, duties, job-related knowledge, skills, and experience.

Benefits

Nomura’s benefits rank #1 amongst competitors according to Aon’s Benefit Index. Details of participation in benefit plans will be provided if an offer of employment is extended.