Business Audit Vice President

Nomura Holdings, inc.•Philadelphia, PA

1d•Onsite

About The Position

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. 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.

Requirements

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

Nice To Haves

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

Responsibilities

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.
Assess risks and evaluate the strength and viability of control structures and procedures within Investment Management.
Interact with key stakeholders, review metrics and other relevant internal and external materials, and evaluate changes to the risk profile.
Determine audit procedures required to validate the closure of audit issues.
Develop and implement data analytics and/or automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.