Investment Management Technology Audit Manager

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.

Role description

• Leading global audits. Including planning, fieldwork and reporting. This involves leading the global team assigned to the audit, delivery of the audit within the planned timelines, ensuring all audit work is executed and documented in accordance with our audit methodology.
• Risk Assessments. This involves interaction with technology stakeholders, review of relevant metrics as well as other internal and external material. You would also be expected to provide input into the audit plan covering the IT Infrastructure and Security portfolio.
• Continuous Monitoring. Including interaction with key technology stakeholders, review of metrics as well as other relevant internal and external material, evaluation of changes to the risk profile.
• Issue Tracking. Including determining the audit procedures required to validate the closure of audit issues.
• Data Analytics. Use of data analytics techniques on audit engagements where relevant and supporting audit colleagues to utilise data analytics to improve and enhance the audit approach.
• Continuous Learning. Study public material or attend courses to remain abreast of changes in cyber security, information security, infrastructure technology, financial services industry, regulatory changes, and audit practices.

Skills, experience, qualifications and knowledge required

• Minimum of 8 years working experience, this should include working within IT Internal/External Audit or Second line IT functions within the Asset Management industry.
• Strong knowledge of Asset Management business processes & risks and supporting technology processes and controls.
• Strong background and experience of leading, managing and executing IT application audits. Experience should include, risk assessment, auditing of application and data integrity controls to provide an audit opinion on the completeness, accuracy and timeliness of system based processing and auditing of IT general controls.
• Knowledge and experience with third-party risk management processes and controls.
• Experience with designing and/or executing Data Analytic tests is a plus.
• Relationship management: Ability to develop and maintain strong relationships with subject matter experts and IT leaders across the organisation. Work collaboratively with other Internal Audit stakeholders.
• Strong time and project management skills, consistently delivering to deadlines (budget and time).
• Strong analytical skills with the ability to identify key risks, formulate audit plans and report on the criticality and impact of issues identified.
• Very good presentation and report writing skills. Producing draft reports that require minimal changes.
• Sound knowledge of general auditing principles, best practices and standards

Qualifications

• University degree in a technology related discipline and CISSP/CISA/CISM or equivalent certifications are required.
• Other relevant qualifications will be beneficial but not required.

Pay and Benefits

The base pay range for this position at commencement of employment is expected to be between $160K and $180K/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.