Internal Audit Operations - Associate

Nomura • New York, NY

108d • $120,000 - $150,000

About The Position

The Associate, Operations Audit Professional position is a role within Nomura Internal Audit. It reports to the regional lead manager responsible for audits of the CIO Division in the Americas. The Associate will have opportunities to take responsibility for major sections of audits of Operations and other corporate functions globally. Other aspects of the role include supporting related Internal Audit activities, including risk assessment, issue remediation validation, continuous monitoring, and continuous auditing. The role involves frequent coordination with members of the other Internal Audit teams covering IT, Finance, Global Markets, Investment Banking, Legal & Compliance, Investment Management and Risk Management.

Requirements

• Prior experience in the audit of functions within a large financial institution.
• A good understanding of key processes, risks and controls in a large financial institution, with a preference for knowledge and experience of Operations audits (Trade Settlement, Client Onboarding, Trade Confirmation, Payments, Trade & Transaction Reporting).
• Expertise in understanding, assessing and documenting relevant risks and controls preferable for Broker Dealers and Swap Dealers.
• Experience in and ability to discuss risks and control issues effectively with senior auditees.
• Demonstrated ability to work across teams and multi-task.
• Confident manner and well-developed communication (both verbal and written), influencing, interpersonal and project management skills.
• Experience in designing or executing data analytics to improve audit efficiency and effectiveness.
• Accounting or Audit professional qualifications (CIA, CPA, or similar) preferred.
• Good understanding of US market structure, and the regulatory compliance environment, including SEC and CFTC regulatory requirements applicable to the global markets in the US.
• A bachelor's or master's degree in business, Finance, or Accounting.

Responsibilities

• Assist in the scoping and execution of assurance work in regional and global audits.
• Assess risks and evaluate the strength and viability of control structures and procedures within Operations and other functions.
• Ensure all audit work is executed in accordance with Departmental Audit Methodology and documentation standards.
• Stay actively engaged in all phases of assigned audits, from audit planning through testing, completing work-papers, drafting and clearing audit issues with stakeholders, and monitoring own time against budgets and deadlines.
• Monitor issue remediation status monthly and verify that issues are remediated prior to closure.
• Develop and assist in the implementation of effective data analytics and automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.
• Remain current on any changes to Nomura's risk profile through continuously monitoring the assigned area of responsibility and establishing close contact with Operations stakeholders.

Benefits

• 401(k) eligibility
• various paid time off benefits, such as vacation, sick time, and parental leave
• sign-on bonus
• restricted stock units
• discretionary awards

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees