【IT】Wholesale IT Regional Risk and Control

IT: Other

【IT】Wholesale IT Regional Risk and Control

Senior Associate

職務内容

Job Description - Job/Group Overview

Nomura Overview：

Nomura is a global financial services group with an integrated global network spanning over 30 countries. Japan IT (Information Technology) is a diverse environment with employees of over 25 nationalities, who work on technical support, application development and implementation of system changes for Global Wholesale (Global Markets and Investment Banking) and Japan Retail Wealth Management Business. Nomura provides competitive employee benefits, training and upskilling opportunities, and is committed to promoting diversity, equity and inclusion, employee health and well-being.

Job Overview：

• The role of Wholesale IT regional Risk and Control team member will provide strategic service core to achieving and maintaining full compliance with the Firms Risk and Control Framework and the Regional Regulatory requirements. The position combines critical thinking, regulatory environment savviness, relationship building and delivery excellence.
• Reporting functionally and locally to the regional IT Risk and Control lead, the candidate in this role will support the Risk and Control lead in serving as the key liaison between regulators, regional management and corporate stakeholders, ensuring seamless adoption of regulatory mandates, including Economic Security Promotion Act (ESPA), and the Technology Risk Framework.

• Risk and Control environment is dynamic and continually evolving. It is impacted by regional and global internal and regulatory drivers. The team champions diversity and inclusivity as drivers of innovation and excellence, welcoming collaborative professionals who bring both proven expertise and an eagerness to master emerging technologies.

• Key Responsibilities

Strategic Leadership \& Vision

・Support and drive the implementation of regional governance framework to oversee and deliver adequate timely management reporting on the firm’s compliance with regional regulatory mandates

・Execute strategic repeatable processes to ensure consistent compliance with JFSA regulations, including, but not limited to, Economic Security Promotion Act “ESPA”. The processes address:

‐Scope Management: Assess new applications and material changes to existing applications

‐Change Management: planning, tracking and reporting of remediation activities. Onboarding of new applications

‐Vendor \& Contract Management: timely engagement with vendor to secure required materials, assess changes and manage exceptions to achieve compliance. Engage legal teams when needed to review and amend contracts as needed

‐Regulatory Engagement: Active engagement with JFSA and quality submissions of required templates. Follow ups on regulators inquiries, tracking of open matters and securing required regulatory approvals

・Inform, and advice, Wholesale IT management on Technology Risk and Control framework including global IT policies \& standards mandates, key processes and exception management.

・Partner with local Risk and Control teams on process improvements, information sharing, local reporting and scope management

・Protect the firm from IT risks through accountability for oversight and improvements across regulatory, risk and control disciplines

Transformation \& Modernization

・Enhance management of risk and control capabilities by driving automation initiatives and enhanced reporting

・Stay current with industry trends and regulatory requirements to identify and resolve implementation gaps

・Establish governance and control process required to meet local regulatory requirement, own its execution engaging internal stakeholders within IT organization.

Regulatory Compliance \& Risk Management

・Bring deep understanding of Japan's business and regulatory environment

・Work closely with Regional Management, Operational Risk Management, and internal and external Audit to ensure IT Risk and Control deliverables are defined and executed to agreed schedules

・Ensure IT teams across Wholesale and Corporate functions adhere to relevant technology policies and controls

・Maintain acute awareness of compliance obligations and operate with precision within rigorous regulatory and audit frameworks

登録資格

Requirements - Requirements

＜Mandatory＞

• Bachelor’s degree in information technology or similar field
• Minimum 5 years of relevant IT Risk \& Control experience in the financial industry
• Fluent in both English and Japanese, written and spoken at business level or above.
• Strong communication, leadership, and stakeholder management skills.
• Strong analytical skills and the ability to learn new systems and products quickly.
• Strong problem-solving skills and the ability to perform under pressure.

＜Preferred＞

• Knowledge of the Japanese regulatory environment and experience working with Japanese regulators.
• Experience managing third parties, including review of contractual terms and sub-vendor relationships.
• Knowledge of Operational Risk frameworks, including policies, controls, risk taxonomy, events, and risk assessments.
• Understanding of technology stacks, application components, and technical architecture.
• Experience across key technology processes such as Incident Management, Change Management, SDLC, DevOps, Data Management, Asset Management, Cloud, Control Management, RCSA, and Risk Management.
• JSDA (Japan Securities Dealers Association) Sales Representative Qualification

勤務地

Location 大手町