Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset 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. For further information about Nomura, visit www.nomura.com
The 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 EMEA comprises 38 professionals, split across business, risk and IT audit specialists reporting to the Global Head of Internal Audit for Wholesale, who is based in London.
Duties of the Role
This role will support the execution and management of EMEA Internal Audit efforts, focusing on EMEA Compliance, and Financial Crimes audits including:
Lead and execute internal audits for EMEA Wholesale Division in EMEA, reporting to the Regional Portfolio Director (RPD) for Legal, Compliance, Financial Crime and Corporate Governance.
Take primary responsibility for audit planning, fieldwork, reporting findings and agreeing action plans with key auditees.
Support the RPD in conducting Continuous Monitoring, maintaining relationships with key auditees and evaluating any changes in the risk profile of the departments which might result in a change in the audit plan, risk assessments or audit universe. This includes deputizing the RPD at stakeholders Forums and Committees as required.
Follow-up of issues and action plans raised in reports.
Perform risk assessments, at least annually, using the departmental risk assessment methodology.
Carry out special projects, ad hoc investigations and advisory work where required.
Skill and Experience Requirements
Strong background and experience of Compliance, Financial Crimes, Legal and Corporate Governance in Investment Banking business auditing in a major financial institution or Big 4 practice firm.
Demonstrable knowledge of UK and EMEA regulatory infrastructure and wholesale banking activities
Ability to forge strong relationships with senior auditees and influence control initiatives
Strong analytical skills with the ability to identify key risks and formulate audit plans
Sound judgement on the criticality and impact of issues raised
Confident manner and strong communication skills, both oral and written
Strong time and project management skills, consistently delivering to deadlines (budget and time)
Strong Team player
Experience in managing audit teams
Degree level and/or an audit related professional qualification (e.g. ACA, ACCA, or CIA)
ACAMS, or CISI Financial Crime certified
CISI or ICA Compliance related certification
Internal Number: 5068286
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