Manager, Internal Audit (Legal & Compliance)
Nomura Services
Total des années d'expérience :9 years, 0 Mois
• Led comprehensive internal audits for the legal and compliance departments at Nomura,
identifying regulatory risks to ensure adherence to AML statutory requirements and
collaborated cross-functionally with L&C, and risk management teams to integrate AML
and KYC protocols.
• Employed Excel and SQL extensively for sophisticated Data Analytics, effectively honing in
on Client Screening datasets for optimal data management and analysis
•Directed the strategic planning and execution of comprehensive audits in key areas
including New Product Approval, integration with the General Ledger, adherence to US
Regulatory Reporting standards, and Third-Party Program Management.
• Pioneered the Continuous Monitoring initiative through the enhancement of data
analytics within QlikView, contributing to major improvements by integrating New Product
Approval and Third-Party Program Management requirements.
• Executed DET and OET for key Investment Banking controls including Risk and Regulatory
control exception monitoring, internal policy compliance and trade surveillance related
controls
• Conducted in-depth assessments and thematic investigations into significant trading
indicators including Corporate Actions and Market Sounding activities, identifying
anomalies and recommending corrective strategies
CFA Level 1 Cleared
First Attempt Chartered Accountant
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