Business Audit - Associate

Nomura Holdings, inc. • Philadelphia, PA

94d • $110,000 - $120,000

About The Position

The Associate, Investment Management Audit is a key contributor within Nomura Internal Audit, reporting to the Regional Portfolio Director responsible for Investment Management. The role participates in local and global audits of Nomura's Investment Management business and supports other Internal Audit activities, including risk assessment, issue remediation validation, and continuous monitoring. It evaluates compliance with regulatory requirements, primarily those promulgated by the SEC.

The Internal Audit department is part of the firm's corporate governance. Its primary objectives are to review the company's control environment and report identified weaknesses to the Audit Committee and senior management. In the US, the department comprises more than 35 professionals 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.

Requirements

• A minimum of 5 years of audit work experience within the Asset Management industry.
• Good knowledge of Asset Management business processes, risks, and controls.
• Experience participating in Asset Management or financial services audits.
• Ability to communicate effectively with auditees at various levels and collaborate with Internal Audit team members.
• Strong organizational and time management skills, including the ability to manage multiple priorities and meet deadlines.
• Good analytical abilities to identify risks, execute audit procedures, and document findings clearly.
• Commitment to continuous learning and staying current with industry developments.
• Bachelor's degree.
• Progress toward or completion of relevant professional qualifications, such as CIA, CPA, or CFA.

Responsibilities

• Execute audit fieldwork and contribute to audit planning and reporting.
• Perform detailed testing procedures, document findings, and support audit deliverables within planned timelines and in accordance with audit methodology.
• Assist in assessing risks and evaluating control structures and procedures within Investment Management operations.
• Support continuous monitoring by reviewing metrics, analyzing relevant internal and external materials, and identifying changes to the risk profile.
• Perform audit procedures to validate remediation and closure of audit issues.
• Execute data analytics tests and support the development of automated testing procedures to identify internal control weaknesses during audit reviews.
• Prepare comprehensive audit workpapers and contribute to audit reports and presentations.

Benefits

• Medical benefits
• Financial benefits
• Other benefits
• 401(k) eligibility
• Paid time off, including vacation and sick time
• Parental leave
• Potential sign-on bonus, restricted stock units, and discretionary awards, depending on the position offered

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level