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Global Markets Internal Audit -Vice President

London, United Kingdom
Closing date
Jan 26, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Job title: Global Markets Internal Audit Vice President

Corporate Title: Vice President

Department: Internal Audit

Location: London

Company overview

Nomura is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Asset 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


Department Overview

The 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 Nomura Global Wholesale Internal Audit department in EMEA comprises 39 professionals, who have responsibilities across business lines, middle and back office, Risk Management, Compliance and Information Technology.

Duties of the Role

Reporting to the Head of Global Markets Internal Audit, the Global Markets Internal Audit Vice President will be responsible for leading and participating in integrated audits of Global Markets businesses. The integrated audits cover Front Office Trading and Sales together with supporting control functions including Market and Credit Risk Management, Product Control / Middle Office, Technology and Compliance.

The role involves interacting with senior stakeholders including business and control function heads to understand and assess the risks across a range of complex products and make value added control improvement recommendations.

Responsibilities include risk assessments, continuous monitoring, validating major control enhancements, and contributing towards strategic and innovative changes to improve audit effectiveness.

The role covers structured and complex businesses as well as vanilla businesses across all major asset classes (Credit, Rates, FX, and Equities).

The primary focus of the role is Global Markets, although the role also offers the opportunity to cover other businesses including Digital Assets, Investment Banking, and Asset Management.

Key objectives critical to success:
  • Lead and/or participate in global and regional integrated Global Markets audits and deliver the Audit Plan.
  • Identify and agree value added control improvements with senior stakeholders
  • Support risk assessments of a range of complex Global Markets businesses, and perform continuous monitoring to assess emerging risks.
  • Develop working relationships with desk heads and senior corporate function stakeholders to ensure strong understanding of the business.
  • Collaborate effectively with subject matter experts within the audit team (e.g. Market Risk, Credit Risk, Compliance and Technology).
  • Work with data analytics experts to develop and implement data analytics and automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.
  • As a seasoned professional applies solid understanding of audit standards, policies, and local regulations to provide timely audit assurance.
  • Contributes to the development of audit process improvements as well as internal audit methodology.
  • Provides coaching to team members in all phases of the audit process.

Effectively collaborate with Global and Regional Portfolio Directors across all regions.

Skills, experience, qualifications and knowledge required:
  • Strong background and experience of Capital Markets auditing in a major financial institution, Big 4 firm, or Consulting firm.
  • Strong analytical skills with the ability to identify key risks and identify control improvements
  • Strong in project management, building relationships, and communication in both oral and written forms.
  • Accountancy qualification preferred or equivalent industry experience.
  • Bachelor's degree or equivalent.
  • Knowledge of general auditing principles, and best practices and standards preferred.

Nomura competencies

Trusted Partner
  • Understand clients' needs and issues, and provide solutions utilizing Nomura Group company's resources, earn the clients' trust
  • Acquire a wide range of knowledge as an employee of Nomura, instead of focusing only on one's own area of expertise; play a part in improving the company's services level and corporate value

Entrepreneurial leadership
  • Take on new challenges for improvement and cultivate a corporate culture of challenge by driving change in business operations


  • Ensure views are not biased, accept different opinions and perspectives, and collaborate with other members to create common values

  • Provide appropriate guidance to others and act in a manner that places emphasis on the performance and growth of the organization

  • Improve further the understanding and awareness of corporate philosophy, professional ethics, compliance risk management, and code of conduct, and make decisions and take actions from a management position

Right to Work
The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role.

Diversity & Inclusion

Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.

If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.

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