Vice President - Business Auditor - Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Nomura Asia
  • 29 May 17

The role is for a Business Auditor reporting to the AEJ Business Infrastructure (Finance and Operations) Regional Portfolio Director. The principal role is to define and execute assurance work over Operations and Finance functions across AEJ. The candidate will work closely with the members of the Audit team in other regions with some limited travelling required.

Nomura overview: 

Nomura is an Asia-headquartered 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 

Team Overview: 

Nomura AEJ Internal Audit currently comprises 27 permanent employees of which 19 are located in Hong Kong and 8 located in Singapore. Our team performs risk-based audits across 12 countries in the region. The team covers all AEJ businesses including Global Markets, Investment Banking, Wealth Management, Asset Management, and Merchant Banking, and associated control and support functions. 


Key responsibilities will cover all of AEJ and include:

  • Performing risk assessments of the Operations and Finance functions and assisting in developing the annual audit plan.
  • Planning and execution of audits primarily of the AEJ Operations and Finance functions.
  • Identifying key risks, and drafting and reporting audit findings promptly to line and senior management, suggesting practical and innovative solutions to these findings.
  • Responsibility for effective validation and closure of issues raised in reports.
  • Participating in the department’s quarterly Continuous Monitoring programme that opines on (i) Changes to the Audit Universe; (ii) Changes to the underlying risk assessments, and (iii) Changes to the Audit Plan.
  • Identifying emerging risks and control themes to be included in management and Audit Committee presentations.
  • Understanding and applying the department’s audit methodology.
  • Supervising and coaching junior team members


  • Must possess strong oral and written communication skills.
  • Confident and can work independently. Strong sense of commitment and ownership. Ability to multi-task and be proactive is essential.
  • Demonstrate the ability to influence and persuade auditees regarding control issues.
  • Technical knowledge of the Investment Banking businesses and excellent understanding of the - Finance and Operations functions. 
  • The candidate is expected to have an accounting background or a professional qualification eg CPA. 5-10 years’ experience either in a Global Markets audit function at an investment bank or combined investment banking experience and some time at a large accounting firm.
  • Some international experience is preferred. 
  • Candidate with less experience will be considered as Associate

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.