Business Audit Vice President

Nomura; Philadelphia (Philadelphia County); On-site; USD 160,000 - 180,000; Full time

Job summary

Nomura in Philadelphia seeks a Vice President for Investment Management Audit to lead and participate in global audits of Nomura's Investment Management business, ensuring regulatory compliance and effective risk controls. The role reports to the Regional Portfolio Director and collaborates with Global Audit teams across functions.

With at least 8 years in asset management auditing and strong analytical, data analytics, and reporting skills, you will drive issue remediation, continuous

Qualifications

• Minimum of 8 years working experience in Audit within the Asset Management industry.
• Strong knowledge of Asset Management business processes, risks and controls.
• Proven background in leading, managing, and executing end-to-end Asset Management reviews.
• Experience with designing and/or executing Data Analytic tests is a plus.
• Relationship management: Ability to effectively discuss control issues with senior auditees. Work collaboratively 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.
• Qualifications: A bachelor's degree and relevant professional qualifications (e.g., CIA).

Responsibilities

• Leading Global Audits: Plan, execute fieldwork, and report on audits. Define scope, lead assigned teams, deliver audits within planned timelines, and ensure all audit work is executed and documented in accordance with audit methodology.
• Risk Assessments: Assess risks and evaluate the strength and viability of control structures and procedures within Investment Management.
• Continuous Monitoring: Interact with key stakeholders, review metrics and other relevant internal and external materials, and evaluate changes to the risk profile.
• Issue Tracking: Determine audit procedures required to validate the closure of audit issues.
• Data Analytics: Develop and implement data analytics and/or automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.

Skills

Audit

Data analytics

Relationship management

Time management

Project management

Analytical skills

Presentation skills

Education

Bachelor's degree

CIA

Job description

Corporate Title: Vice President

Department: Internal Audit

Location: Philadelphia

The base pay range for this position at commencement of employment is expected to be between $160K and $180K/year* (see below footnote for additional compensation and benefits information).

Company Overview

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. For further information about Nomura, visit www.nomura.com.

Aon’s Benefit Index ® , Nomura’s benefits rank #1 amongst our competitors.

Department Overview

The Internal Audit 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 the US 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.

Role Description

The Vice President, Investment Management Audit position is a lead auditor role within Nomura Internal Audit, reporting to the Regional Portfolio Director responsible for Investment Management. This position leads and participates in local and global audits of Nomura's Investment Management business, while supporting other Internal Audit activities including risk assessment, issue remediation validation, and continuous monitoring and auditing. The role involves assessment of compliance with regulatory requirements, primarily those promulgated by the SEC.

The Role’s Responsibilities Are

• Leading Global Audits: Plan, execute fieldwork, and report on audits. Define scope, lead assigned teams, deliver audits within planned timelines, and ensure all audit work is executed and documented in accordance with audit methodology.


• Risk Assessments: Assess risks and evaluate the strength and viability of control structures and procedures within Investment Management.


• Continuous Monitoring: Interact with key stakeholders, review metrics and other relevant internal and external materials, and evaluate changes to the risk profile.


• Issue Tracking: Determine audit procedures required to validate the closure of audit issues.


• Data Analytics: Develop and implement data analytics and/or automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.

Skills, Experience, Qualifications And Knowledge Required

• Minimum of 8 years working experience in Audit within the Asset Management industry.


• Strong knowledge of Asset Management business processes, risks and controls.


• Proven background in leading, managing, and executing end-to-end Asset Management reviews.


• Experience with designing and/or executing Data Analytic tests is a plus.


• Relationship management: Ability to effectively discuss control issues with senior auditees. Work collaboratively 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.


• Qualifications: A bachelor's degree and relevant professional qualifications (e.g., CIA).

Nomura 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 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

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


• 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. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered.

If hired, 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.”.

Nomura is an Equal Opportunity Employer