Sr Principal IT Risk & Control

The pay range for this position at commencement of employment is expected to be between $145,000 and $175,000 /year*

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. For further information about Nomura, visit www.nomura.com.

 

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

 

Function Overview:

Wholesale (WS) Ops and IT Risk and Control function is responsible for defining a sustainable governance framework to ensure controls are “fit for purpose”, operating as designed and are adaptable to challenges brought in by external events and regulatory changes. The team thus looks to facilitate in identification of the firm’s risks by ensuring adequate controls are in place within WS CIO functions. The team also aim to advises supports Wholesale CIO management on risk and control practices. We are currently looking for risk management professionals with prior experience in the IT risk management space with particular focus in Global Markets IT.

 

Responsibilities:

• Provide Wholesale CIO management with full picture of key risks and of the status of the control framework
• Challenge 1 LOD controls and remediation actions plans to ensure they are effective
• Oversee KRI breaks and exceptions periodically to access impact.
• Oversee and support the Risk and control Self assessment (RCSA) process for GM IT, ensuring appropriate challenge being provided to preserve the purpose of the framework
• Partner with Group Technology to engage in discussions concerning the control framework with Internal / External Auditors; cooperate in completion of such audits as well as SOX Audits
• Conduct deep dive analysis on key incidents, events
• Provide training to support enforcing risk culture within the ORM Framework
• Support WS CIO management on global IT policies & standards buildout and reviews, and monitor compliance
• Improve overall IT Risk & Control awareness of IT staffs
• Monitor technology projects for adherence to governance policies and processes
• Develop technology MIS reporting (e.g. KRI, operational KPI, Control Dashboard)
• Coordinate global / regional technology control improvement programs

 

Requirements:

• Bachelor degree in Information Technology or relevant qualification
• Minimum 7 years of relevant IT Risk & Control experience within Investment Banking or related environment. Candidates with experience working technology audit or technology oversight function will also be considered.
• Familiarity with Excel (Marco), Business Objects Reporting, Visio, Power Point, Power BI, GRC tools, ServiceNow, Confluence
• Strong communication skills with strong adaptability and attention to details
• Able to think laterally and is comfortable with negotiating, possess an ability to seek buy in from key stakeholders.
• Possess Strong analytical skills and an ability to quickly learn new products and systems, need to be able to thrive in a constantly changing environment.
• One of more certification in CISA, CISM, CRISC, CISSP, or other IT governance, risk, or audit or security professional qualification

 

 

 

Essential Skillsets/Experiences:

• Experience in design and supporting IT Governance, IT General Control, IT Security, Audit or Technology compliance framework.
• Experience in external statuary audit, internal audit and regulatory assessment facilitation including inspections.
• Understanding of Investment Bank, Global Markets and Wealth Management technology front to back operations
• Experience in key technology processes including Incident, Problem, Release and Change Management preferably using ITIL model
• Experience in Agile SDLC and Cloud Governance
• Experience of current technology risks and ability to leverage trends to identify problem areas
• Experience in technology risk assessment and third party vendor assessment

 

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensat