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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 practices disciplined entrepreneurship while building on a long tradition of serving clients with creative solutions and considered thought leadership.
Oversee the Risks and Control Self-Assessment (RCSA) process for Operations, ensuring appropriate challenge being provided to preserve the purpose of the framework
Engage in discussions concerning the control framework with Internal / External Auditors (audit related); cooperate in completion of such audits as well as the SOX Audits
Manage relationship with ORM, Internal / External Audits, FOS, Business Managers and other Control counterparts
Oversee the KRI breaks and exceptions periodically to assess impact
Analyse incidents / events, perform impact and trend analysis, assess the strategic outlook of actions proposed
Oversee the closure of audit action points and issues; work with the department heads to ensure accuracy and completeness of responses
Collaborate with cross divisional / regional counterparts on initiatives looking to enhance the control and governance framework for Operations
Initiate projects / analysis (as necessary) to pave way for a better control framework within Operations
Ensure consistent understanding of relevant of standards and guidelines applicable to operations
Conduct training, awareness, case study sessions on themes relevant to the current control environment to ensure uniform appreciation of existing risks and controls among the Operations teams
Participate in ARPs, cross border forums and other cross divisional / cross regional forums, as deemed appropriate
Participate in Quality Assurance reviews (post appropriate training to conduct such reviews)
Drive the design and implementation of Vendor Risk Management Framework within Operations
Key Experience & Skills
Has a master's degree or equivalent in Finance or related subject/s
Has relevant experience in Operations, preferably with a risk management background
Has experience in control assessments, preferably utilizing data analytics where applicable
Has some exposure to Vendor Risk Frameworks
Is a confident communicator with good presentation skills
Is comfortable with negotiating; possesses an ability to seek buy-ins from key stakeholders
Has a keen attention to details, able to multitask and enjoys problem solving
Possesses strong analytical skills and an ability to quickly learn new products and systems; needs to be able to thrive in a challenging constantly changing environment
Is dynamic - with a strong character and excellent interpersonal skills
Regional Disclaimers / Diversity Statement
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.