Business Audit - Associate

Nomura Holdings, inc.•Philadelphia, PA

7d•Onsite

About The Position

The Associate, Investment Management Audit position is a key contributor role within Nomura Internal Audit, reporting to the Regional Portfolio Director responsible for Investment Management. This position 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. The role involves evaluating compliance with regulatory requirements, primarily those promulgated by the SEC.

Requirements

Minimum of 5 years working experience in Audit 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 effectively communicate with auditees at various levels and collaborate with Internal Audit team members
Strong organizational and time management skills with 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
A bachelor's degree and Progress toward or completion of relevant professional qualifications (e.g., CIA, CPA, 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 in accordance with audit methodology.
Assist in assessing risks and evaluating control structures and procedures within Investment Management operations.
Support continuous monitoring activities by reviewing metrics, analysing relevant internal and external materials, and identifying changes to the risk profile.
Perform audit procedures to validate the 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.