1195184 - Continuous Auditing Specialist

Closing date
11 Feb 2022

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Contract Type
Full Time
Job Title:Continuous Auditing Specialist Job Code:1195184
Skill Category:Audit
Location:Americas Client Job Ref: Job Type:Permanent
Post Start Date:4 May 2021
Post End Date: Job Summary:
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, 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 .

Department overview:

The department's primary objectives are to provide independent and objective assurance to the Board Audit Committee and senior management adding value to, and improving the organisation's operations. This is designed to help the organisation to accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes.

The Analytics & Digitalization (A&D) team has a global remit within Internal Audit, reporting to the Global Head of A&D who reports to the Global Head of Wholesale Audit, both based in London. The A&D team is primarily responsible for implementing Internal Audit's global Digitalization Strategy, supporting audit work by advising, executing and reporting on data analytics testing and implementing continuous auditing solutions within the Internal Audit Wholesale division in order to provide more efficient, timely and forward-looking assurance.

Role description:

A vacancy has been created for an experienced Continuous Auditing Subject Matter Expert (SME) to join the Nomura Group Internal Audit Analytics & Digitalization (A&D) team in the US. This position will be located in New York, but the incumbent may work on global assignments. This opportunity suits highly motivated candidates who have solid data analytics and continuous auditing experience to design and execute general and targeted solutions to enable the department to further automate the risk assessment process, the evaluation of first and second line of defence monitoring activities and Internal Audit control testing. This role is an opportunity for non-auditor candidates with a developer or quantitative analyst working experience, preferably in an Investment Bank, to join an Internal Audit department. Auditors with relevant continuous auditing and data analytics working experience are also encouraged to apply.

Key objectives critical to success:
  • As a key member of the A&D team, lead and execute continuous auditing projects in accordance with departmental audit standards and methodology.
  • Fast prototyping of different ideas for manipulating data to generate insights and high quality results.
  • Work independently with auditees and with minimal supervision to identify data sources for continuous auditing solutions. Collect data for analysis to support the development of continuous auditing solutions and build auditor dashboards. Conduct data interviews, record minutes effectively and follow up where necessary.
  • Understand data structures, develop and evaluate code to extract relevant data to meet Audit objectives.
  • Visualise CA results and findings through visualisation tools such as Power BI, BIRT, Dash, Excel, etc.
  • Contribute to the expansion of Internal Audit's Continuous Monitoring Program by developing automated analytics and reports.
  • Deliver work on time and to the required standard.
  • Assist non-technical audit colleagues in understanding technology and data risks and controls.

Skills, experience, qualifications and knowledge required:
  • Graduate or higher education qualification;
  • Computer Science, Data Science, MBA, Chartered/certified accountancy qualification, continuous auditing or data analytics experience;
  • A professional qualification (e.g. CAP (Certified Analytics Professional) or other equivalent certifications, CFA, CISA, Six Sigma Black Belt, etc.) is an advantage

Skills and Experience Required:
  • Minimum of 2 years' experience in a continuous auditing or data analytics role with hands-on experience working with data and visualization software.
  • Prior experience programming user interfaces in Python and developing recurring data extraction queries would be seen as an advantage. Experience working with open source software would also be beneficial.
  • Experience of continuous monitoring, data analytical and mining tools and languages, including Python (pandas), SQL, ElasticSearch, Graph, SSIS, R. Practical experience of using machine learning would be an advantage.
  • Experience with visualization technologies such as Power BI or BIRT, specifically the ability to stage data from multiple sources, design dashboard content, and develop applications through multiple iterations with users.
  • Experience of system development (build, design and/or implementation), preferably in an Investment Banking/Broker dealer or Financial Services setting, or with a Big 4 firm accountancy firm.
  • Excellent oral and written communication skills.
  • Good analytical and decision making skills.
  • Self-starter and a team player.
  • Able to multi-task and work to tight deadlines.

Additional Skills and Experience Preferred :
  • Good understanding of Project Management and Systems Development processes.
  • Good understanding of business processes and technology supporting those processes.
  • Experience of auditing technology risk and controls, preferably within Investment Banking or Financial Services is an advantage.
  • Understanding IT general controls, including system security, data integrity and system Architecture & design Data Integrity (scalability, performance, resilience & availability).
  • Nomura is an Equal Opportunity Employer

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