Global Markets Audit Technology Portfolio Executive Director

Corporate Title: Executive Director

Department: Internal Audit

Location: New York

The pay range for this position at commencement of employment is expected to be between $XXX and $XXXK/year*

 

Company overview

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

 

Aon’s Benefit Index®, Nomura’s benefits rank #1 amongst our competitors

 

Department overview:

The Internal Audit department is a key part of Nomura’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 Internal Audit department has over 190 staff that are located in major cities around the world. The Nomura Global Wholesale Internal Audit department in the Americas comprises 40 professionals, split across Trading, Sales and Investment Banking businesses as well as Technology, Risk Management, Legal and Compliance and Finance specialists, reporting to the Americas Head of Internal Audit.

The Internal Audit (IA) department adopts an integrated audit approach, and the Global Markets Technology audit team works closely with business auditors on complex and global audits. The Global Markets team covers all major asset classes – Equities (including Instinet), Securitized Products, Rates, Credit, and FX - covering both vanilla and structured trading.

 

 

Responsibilities: 

Reporting into the Americas Head of Global Markets Audit, the Global Markets Audit Technology Portfolio Director will be an experienced Technology auditor responsible for delivering the audit plan in relation to Global Markets applications – in particular for Global Equities and Securitized Products - as well as delivering risk assessments, continuous monitoring, overseeing issue validation and being responsible for key relationships with Global Markets Technology senior management.  

 

Key Responsibilities:

• Primary responsibility for developing and timely delivering the Global Markets technology audit plan covering Global Equities and Securitized Products in accordance with departmental standards. This includes planning through to report issuance, as well as risk assessments, continuous monitoring, and issue follow up / validation.
• Provide strategic and risk focussed direction and continually seek to improve the Global Markets IT audit and departmental processes for impactful results.
• Support Internal Audit’s strategic initiative for Data Analytics by being an active supporter and contributor to this initiative. Advocate and develop audit colleagues to use data analysis to improve and enhance the audit approach.
• Maintain strong independent working relationships with senior technology management, identifying emerging risks, and raising important value add