Business Audit - Associate

Business Audit - Associate

Job Code: 13339 Country: US City:
Philadelphia Skill Category:
Internal Audit

Description:

Corporate

Title:

Associate Department:
Internal Audit

Location:

Philadelphia The base pay range for this position at commencement of employment is expected to be between $110K and $120,000 per year (see below footnote for additional compensation and benefits information).

Company overview Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions:
Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

Department overview 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.

Role description 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.

The role's responsibilities are:

• Audit Execution:
  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.
• Risk Assessment Support:
  Assist in assessing risks and evaluating control structures and procedures within Investment Management operations.
• Continuous Monitoring:
  Support continuous monitoring activities by reviewing metrics, analysing relevant internal and external materials, and identifying changes to the risk profile.
• Issue Validation:
  Perform audit procedures to validate the remediation and closure of audit issues.
• Data Analytics:
  Execute data analytics tests and support the development of automated testing procedures to identify internal control weaknesses during audit reviews.
• Documentation:
  Prepare comprehensive audit work papers and contribute to audit reports and presentations.

Skills, experience, qualifications and knowledge required:
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 Communication:
Ability to effectively communicate with auditees at various levels and collaborate with Internal Audit team members Project Management:
Strong organizational and time management skills with ability to manage multiple priorities and meet deadlines Analytical

Skills:

Good analytical abilities to identify risks, execute audit procedures, and document findings clearly Professional Development:
Commitment to continuous learning and staying current with industry developments

Qualifications:

A bachelor's degree and Progress toward or completion of relevant professional qualifications (e.g., CIA, CPA, CFA) Nomura Leadership Behaviors Explore Insights & Vision Making Strategic Decisions Inspire Entrepreneurship in People Elevate Organizational Capability Inclusion