Nomura is a Global 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 practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.
For further information about Nomura, visit www.nomura.com.
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 department in the Asia Ex-Japan region (AEJ) comprises 26 professionals, split across business, risk, LCC and IT auditors reporting functionally to the Global Portfolio Directors of each divisions and/or to the Regional Head of Internal Audit for the region based in Singapore.
The role of the incumbent is to support the Regional Portfolio Director (RPD), based in Singapore who reports to the Regional Head of Internal Audit and the Global Portfolio Director based in the UK, in the definition, execution and management of the AEJ's Internal Audit efforts related to Compliance, Financial Crimes, Conduct and Culture and Legal (LCC). The LCC portfolio, oversees key control frameworks related to Market Abuse Surveillance, Conflicts Management, Compliance Advisory, AML/KYC, Sanctions, Anti-Bribery and Corruption (ABC), Conduct & Culture, and Legal, including the use of Master Agreements.
In this role, the candidate is expected to:
Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.
DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.