Global Markets Auditor - Nomura

Job title: Global Markets Auditor

Corporate Title: Vice President

Department: Internal Audit

Location: London

Company overview

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wholesale (Global Markets and Investment Banking), Wealth Management, 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.

Instinet, a trading arm of Nomura also operates as a broker that executes trades for asset management firms, hedge funds, insurance companies, mutual funds and pension funds. Instinet provides sales trading services, trading technologies, trade cost analytics, commission management, independent research and dark pools of liquidity. For further information about Instinet, visit www.instinet.com.

Department Overview:

The Global Internal Audit department is a key part of Nomura’s corporate governance, and its primary objective is to review the company's control environment and report any weaknesses identified to the Audit Committees and senior management.

The EMEA Internal Audit department comprises 53 professionals, who have responsibilities across Global Markets, Instinet, Investment Banking and Investment Management business lines, as well as Corporate functions including middle and back office support, Risk Management, Compliance and Information Technology.

Audit coverage is managed functionally by Global Portfolio Directors, with regional and legal entity oversight by regional heads. The Head of EMEA Internal audit is also Nomura Wholesale Division Global Head of Internal Audit, based in London. The Head of Americas Internal Audit is responsible for Instinet.

Role description:

The Internal Audit department has adopted a fully integrated audit approach and business auditors are expected to work closely with IT auditors on complex and often global audits.

This role is suited to a highly motivated candidate who has experience auditing business processes relating to Global Markets and an Equities brokerage environment, who is driven to make an impact in a global organisation and grow their career to the next level. In addition to controls over business processes, an understanding of technology controls would also be an advantage.

The main duties of the role are:

• Manage and support internal audits of Global Markets and Instinet businesses, in addition to other areas such as Investment Banking and / or Crypto Assets.
• Actively take part in all stages of the audit from audit planning and fieldwork through to document and agreeing issues and the audit report with key auditees, raising value added control improvements to senior management.
• Manage and perform risk assessments across Global Markets, Instinet and other businesses using the departmental risk assessment methodology.
• Manage interaction with key Global Markets and Instinet stakeholders. Assist with the continuous monitoring programme including regular meetings with key auditees and evaluating any changes in the risk profile of which might result in a change in the audit plan, risk assessments or audit universe.
• Execute audits in accordance with departmental standards and conduct effective risk assessments on processes/functions during the audit. Ensure consistent delivery of assignments on time and to quality of methodology standards.
• Support IA’s strategic initiative for Data Analytics by being an active supporter and contributor to this initiative. Utilise data analysis to improve and enhance the audit approach.
• Direct and carry out pre-implementation reviews, special projects, ad hoc investigations and advisory work where required.
• Follow-up of issues that are raised in audit reports.
• Continually seek to improve audit and departmental processes.

Skills, experience, qualifications and knowledge required:

• Strong background and experience of auditing Global Markets and Equity Brokerage (equities), and supporting operational processes, in a brokerage or financial institution that is subject to global regulatory standards.
• Strong leadership skills: Has a proven track record of demonstrating maturity and leadership, acts as a role model and holds self and others to high standards of excellence. Able to motivate, coach and develop staff to achieve departmental and personal objectives.
• Relationship Management: Has proven ability to build strong relationships with auditees and can effectively manage upwards at senior levels. Demonstrates clear understanding of the business needs and exceeds expectations. Able to network and manage relationships at senior levels across the organisation and in the wider financial services industry.
• Strong background and experience of managing and executing Front-to-Back audits within a Global Markets or brokerage environment.
• Experience of successfully performing complex audit projects, as well as performing multiple audits concurrently.
• Strong analytical skills with the ability to identify key risks and control weaknesses, and sound judgement on the criticality and impact of issues identified, with a risk and commercial focus.
• Confident manner and strong communication skills, both oral and written.
• Strong time and project management skills, consistently delivering to deadlines (budget and time). A proven ability to work effectively on multiple tasks, exercise good judgement in prioritizing one’s own workload to meet deadlines.
• A bachelor’s degree or higher education qualification supported by work experience as a Business auditor in a financial services firm, Consulting firm or Big 4 firm.
• Chartered Accountancy (ACA/ACCA/CISA) or equivalent qualification preferred.
• Sound knowledge of general auditing principles and best practices and standards, and experience of using agile audit techniques.
• Experience of using data analytics to gain audit assurance would be beneficial.

Nomura competencies

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 the options for resolving the 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

• Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

Right to Work

The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role.

Diversity & Inclusion

Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.

If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.

Nomura is an Equal Opportunity Employer