Investment Management Technology Audit Manager

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 Department

The Internal Audit department is a key part of the firm's corporate governance. 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 US team 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.

Responsibilities

• Leading global audits, including planning, fieldwork, and reporting. This involves leading the global team assigned to the audit, ensuring delivery within planned timelines, and ensuring all audit work is executed and documented in accordance with the audit methodology.
• Conducting risk assessments through interaction with technology stakeholders, review of relevant metrics, and other internal and external material. Providing input into the audit plan covering the IT Infrastructure and Security portfolio.
• Continuous monitoring, including interaction with key technology stakeholders, review of metrics, and evaluation of changes to the risk profile.
• Issue tracking, including determining the audit procedures required to validate the closure of audit issues.
• Utilizing data analytics techniques on audit engagements where relevant and supporting audit colleagues to improve and enhance the audit approach.
• Continuous learning to remain abreast of changes in cyber security, information security, infrastructure technology, financial services industry, regulatory changes, and audit practices.

Requirements

• Minimum of 8 years of working experience, including 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 in leading, managing, and executing IT application audits, including risk assessment, auditing of application and data integrity controls, and 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.
• 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.

Skills

• Relationship management: Ability to develop and maintain strong relationships with subject matter experts and IT leaders across the organization.
• Collaborative work 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.

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 options for resolving 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 $160,000 and $180,000 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 various paid time off benefits, such as vacation, sick time, and parental leave).