Job
Description
Company overview 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.comNomura Services India, (Powai) supports Nomura’s businesses around the world. Powai’ s world class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support have played a key role in facilitating Nomura’s global operations and are an integral part of Nomura’s global expansion plans. The Powai operation is a critical part of the platform to support the growth of Nomura’s global business.Nomura is an equal opportunities employer. We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees (including promotion, transfers, assignments and beliefs). We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, career’s responsibilities, sexual orientation, gender identity, race, colour, national or ethnic origins, religious belief, disability or age. Our objective is to attract job applications and applications for development from the best possible candidates and to retain the best people. Department Overview The department is a key part of Nomura’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. Internal Audit aims to be a pole of excellence providing guidance and leadership on the execution of local and global audits.The Risk Audit function is a global function split across Risk and IT audit specialists reporting to the Global Head of Risk Audit based in US, who in turn reports to the Global Head of Wholesale Audit based in London. This position will be based in Powai but will be expected to work on global Risk audit assignments. The Risk IT auditors are primarily responsible for executing technology and data audits within the Wholesale Risk Management division covering IT, data management and regulatory compliance reviews.The Nomura India Internal Audit is a part of the Global Internal Audit team and participates jointly in several regional and/ or global audits through the year. Its remit includes auditing of functions within Nomura India businesses (residing in our Worli office) and the global offshoring centre (in Powai). The India Audit team is based in the Powai office. It comprises of 33 Audit professionals with strong experience in Banking and Financial Services Audits and related areas. By qualification, the professionals are CAs, Engineers and MBAs. Duties of the Role The Internal Audit (IA) department adopts a fully integrated audit approach and Risk IT auditors are expected to work closely with business auditors on complex and global audits and highlight data and system weaknesses.There is a vacancy for an experienced Risk IT auditor to join Nomura’s Risk IT Audit function in Powai at Vice President Level. The successful candidate will report to the Global Risk IT Technology Portfolio Director (TPD) based in London and will contribute to defining and executing Risk Management audit assurance work. This opportunity suits a highly motivated IT auditor who has solid experience of integrated auditing with a focus on IT and data controls, preferably with an understanding of Risk Management processes, systems and related global regulations, for example: CRD4/BASEL3 and BCBS 239 (Risk Data Aggregation and Reporting).The candidates should have strong autonomy to execute an audit end of end with minimal supervision, and motivation for making an impact in a global organisation and growing their career to the next level. The main duties of the role are:Leading and executing the IT audit reviews independently in global Risk audits end to end including audit scoping, execution, and reporting with senior stakeholders. Work closely with Risk Management SMEs and business auditors globally on integrated audit reviews, and report directly to the Global Risk IT TPD.Take primary responsibility for audit planning, fieldwork, finalising report findings and agreeing action plans with auditees including both IT and Risk Management senior stakeholders.Raising pertinent and impactful IT, data management and business integrated issues and finalising the audit report with senior stakeholders.Support Internal Audit’s strategic initiative for Data Analytics and Continuous Auditing by being an active supporter and contributor to this initiative. Advocate and develop audit colleagues to use data analysis to improve and enhance the audit approach.Managing stakeholder relationships with both IT and Risk Management clients.Follow-up and validating audit findings raised in audit reports and tracked by Internal Audit.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 Skills and ExperienceSolid experience of executing IT and data management audits within an investment bank in an integrated audit team. Strong track record in: understanding business and IT processes, integrated audits, auditing application controls, and auditing data integrity to provide an audit opinion on the completeness, accuracy and timeliness of system based processing.Deep understanding of Risk Management business and related system processes, gained through work experience at global financial institutions that are subject to global regulatory compliance and standards, especially under the regulatory capital waivers from global regulators.Good understanding of data management processes and operating models including data governance, data architecture, data lineage, data quality and management reporting; and an in-depth understanding of relevant regulations such as BCBS239.Proven ability to build strong relationships with both business and IT auditees and can effectively manage upwards at senior levels.Confident manner and strong communication skills, both oral and written.Sound judgement on the criticality and impact of issues identified, with a risk and commercial focus.Strong time and project management skills, consistently delivering to deadlines (budget and time). Preferred Qualifications: Engineering Degree or equivalent IT related degreeCISA / CISSP or equivalent is a plusKnowledge of coding e.g. using Python and other languages for Data Analytics to provide more insights into risks and/or controlsRisk related certifications such as CISI or regional equivalent
