Internal Auditor Finance Associate

Nomura Holdings, inc.•New York, NY

36d•$120,000 - $150,000

About The Position

The Associate, Finance Audit Professional position is a role within Nomura Internal Audit. It reports to the regional lead manager responsible for audits of the Finance Division in the Americas. The Associate will have opportunities to take responsibility for major sections of audits of Finance and other functions. 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, Operations, Global Markets, Investment Banking, Legal & Compliance, Investment Management and Risk Management. In this role the Associate is expected to: 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 Finance and other functions. Ensure all audit work is executed in accordance with Departmental Audit Methodology and documentation standards Review the implementation of data management frameworks. 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 Finance stakeholders. This includes participating in the maintenance of a quarterly dashboard analysis that tracks audit results, operational risk events and other key metrics, and updating the audit risk assessments appropriately. Assist in the monitoring of changes in Finance processes and systems, and adapting audit plans accordingly. Produce monthly reports of audit activities for Finance stakeholders.

Requirements

Prior experience in the audit of functions within a large financial institution. The candidate should have many of the skills and qualifications listed below:
A good understanding of key processes, risks and controls in a large financial institution, with a preference for knowledge and experience in the Finance audit portfolio (Financial Reporting, Regulatory Capital Reporting, Taxation, Independent Price Verification, Collateral Management, Profit and Loss Reporting, Accounts Payable).
Expertise in understanding, assessing and documenting relevant risks and controls, and a good understanding of the role of technology.
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.
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.

Nice To Haves

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 Finance and other functions.
Ensure all audit work is executed in accordance with Departmental Audit Methodology and documentation standards
Review the implementation of data management frameworks.
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 Finance stakeholders. This includes participating in the maintenance of a quarterly dashboard analysis that tracks audit results, operational risk events and other key metrics, and updating the audit risk assessments appropriately.
Assist in the monitoring of changes in Finance processes and systems, and adapting audit plans accordingly.
Produce monthly reports of audit activities for Finance stakeholders.