Internal Auditor - Legal, Compliance and Controls (LCC)
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About The Position
The Vice President, Legal & Compliance (L&C) Audit position is a lead auditor role within Nomura Internal Audit. It reports to the Regional Portfolio Director (RPD) responsible for execution and management of the Americas Internal Audit efforts covering Compliance, Financial Crimes, Conduct and Legal which include key control frameworks related to Market Abuse Surveillance, Conflicts Management, Compliance Advisory, AML/KYC, Sanctions, Anti-Bribery and Corruption (ABC), Conduct Risk Management, and Legal, including the use of Master Agreements. The position leads or participates in local and global audits of the L&C division of Nomura, as well as supporting other Internal Audit activities including risk assessment, issue remediation validation and continuous monitoring and auditing. The role also involves assessment of compliance with local regulatory requirements, primarily those promulgated by the SEC, CFTC, and FINRA. The principal role of the L&C Audit VP is to lead and execute risk-based audits. This role will work with other L&C auditors in New York as well as other global locations. This individual will have the opportunity to lead and participate in both New York-based and global L&C audits and will coordinate with other Nomura auditors including those covering Global Markets and Operations on audits of common topics.
