Assurance Associate

Nomura; Philadelphia (Philadelphia County); On-site; USD 100,000 - 135,000; Full time

Job summary

A global financial services group is seeking an Assurance Associate for their NAMI Risk & Governance team in Philadelphia. This role involves planning and executing controls testing, documenting findings, and developing remediation actions. Candidates should have at least 5 years of experience in the US Investment Management industry and strong communication and stakeholder engagement skills. The position offers a competitive salary range between $100,000 and $135,000 annually.

Qualifications

• Minimum of 5 years in the US Investment Management industry.
• Experience with controls testing as an auditor or aligned team.
• Strong knowledge of risk and controls assurance programs.
• Excellent verbal and written communication skills required.
• Ability to engage with senior leadership effectively.

Responsibilities

• Plan and execute testing of controls and processes.
• Document findings and observations from the tests.
• Develop actions to strengthen controls based on findings.

Skills

Experience in US Investment Management industry

Testing controls as external/internal auditor

Strong understanding of risk and controls

Robust communication skills

Senior stakeholder engagement skills

Job description

Assurance Associate

Job Code: 11996

Location: Philadelphia, PA

Country: US

Skill Category: Risk

Seniority level: Associate

Employment type: Full-time

Job function: Accounting/Auditing

Industries: Financial Services, Banking, Investment Banking

Base Pay Range

$100,000.00/yr - $135,000.00/yr

Role Description

Our NAMI Risk & Governance team supports NAM International in providing risk guidance and implementing a strong risk management framework, including assessing the design and operational effectiveness of critical processes and controls. Key responsibilities for this role would be planning and executing testing of controls and processes, documenting findings and observations, and developing remediation actions.

Responsibilities

• Plan and execute testing of controls and processes.
• Document findings and observations.
• Develop remediation actions to strengthen controls.

Qualifications

• At least 5 years of experience in the US Investment Management industry, including regulated 40 Act funds and other vehicles subject to Federal securities rules and regulations.
• Experience with testing controls as an external auditor, internal auditor, and/or business‑aligned testing team.
• Strong understanding of risk and controls, including experience with executing controls assurance programs or internal audits.
• Robust communication skills, verbal and written, including developing procedures and controls documentation.
• Senior stakeholder engagement skills with the ability to initiate and lead conversations with senior leaders.

Additional Information

*Base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job‑related knowledge and advanced degrees, skills, and experience.

Employee will be in an “at‑will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.

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: Wealth Management, Investment 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