Job Title: Auditor

Location: Mumbai, IN

Description:

Overview: There is a vacancy for an experienced Risk Auditor to join Nomura's Audit function in Mumbai at Associate level. The successful candidate will report to the Risk Audit team in Mumbai and will be responsible for executing assigned testing in integrated global Risk Management audits and issue validation. This position will be based in India but will be expected to work on global integrated and complex risk audit assignments working closely with Risk SMEs and IT auditors. The Risk auditors are primarily responsible for executing risk management audits in relation to the Wholesale division covering processes relating to Risk Management function, and regulatory compliance. This prospect suits a highly motivated individual who has experience of auditing Risk Management functions (such as Market Risk, Credit Risk, Operational Risk) together with an understanding of risk management processes, applications, and related global regulations, especially CRD IV / BASEL 3 and BCBS 239 (Risk Data Aggregation and Reporting).

The main duties of the role are:

- Under supervision of a Regional Portfolio Director or Risk Type Leads, participate in global / regional Risk Management audits, working closely with specialist auditors in Model Risk, Market Risk, Credit Risk, Operational Risk and Technology where necessary.
- Conducting process walkthrough and identifying key risks, controls, and performing Design and Operational Effectiveness tests with minimal supervision,



document workpapers in line with Nomura Internal Audit methodology, agree issues with management and drafting of issues and audit report.
- To analyse data sets and identify trends, outliers, deficiencies, etc. based on requirements of audit steps.
- Identify emerging risks and control gaps, draft and promptly report audit findings to line management, and suggest practical and innovative solutions.
- Perform risk assessments of Nomura's Risk Management function and assist in developing the annual audit plan.
- Remain current on any changes to Nomura's risk profile through continuous monitoring of the assigned area of responsibility and establishing close contact with key stakeholders. Participate in the audit continuous monitoring / continuous auditing programme covering Risk Management division to identify changes to risk assessments, audit plan or audit universe.
- Work with data analytics experts and / or develop and execute data analytics and automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.
- Follow up audit recommendations post-audit, assess residual risk, validate remedial work performed and close issues.
- Learn, understand and apply the department's audit methodology.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 Auditor (Mumbai)
🏢 Nomura
📍 Mumbai