Internal Audit - Asset Management

Role description

The Associate, Asset 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.

• 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.

Skills, experience, qualifications and knowledge required

• 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).

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.

Department overview

The Internal Audit department is a key part of the firm'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 department in the US comprises over 35 professionals, split across Business, Risk, Legal & Compliance and IT audit teams reporting functionally to the Global Portfolio Directors of each division and to the Regional Head of Internal Audit for the Americas.

Benefits

The base pay range for this position at commencement of employment is expected to be between $110K and $135K per year (see below footnote for additional compensation and benefits information). 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), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. 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".