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Nomura's EMEA Compliance department works to offer advice, guidance and oversight to the business on all matters related to regulatory compliance in the region. The Compliance team works very closely with all departments across the firm and with other Compliance teams in Nomura globally to offer consistent compliance advice and solutions in a rapidly changing and evolving regulatory environment.
The CAO team assists the EMEA Head of Compliance in the efficient management of the department working with all compliance functions within the Region. Key responsibilities include:
Organisational management: Operating model and headcount tracking; oversight of the offshoring function and ownership of the people strategy
Financials: Departmental budgeting and ongoing expense management
Control: Oversight of audit reviews, operational risk management and related open actions
Adhoc: Department presentations, MI and other adhoc projects
The role is part of the EMEA Compliance CAO team and will include the following responsibilities:
Operation of existing processes whilst also contributing to the development and enhancement of these processes highlighting and implementing control, process and policy enhancements and efficiency gains
Production and enhancement of management information on department wide initiatives
Identification of issues and trends from the management information, suggesting, agreeing and managing the implementation of further enhancements and process remediation where required
Ownership of tracking and escalation of audit and operational risk reviews and open actions
Ownership of the department wide business plan including reviewing and challenging monthly updates to ensure that deliverables are met or escalated appropriately
Coordination of relevant committees to help discharge the department wide functional governance requirements
Working as part of the team to support day-to-day activities across all aspects of its role, thereby also assisting in ensuring that adequate coverage for holidays and other staff absences is available
Working collaboratively with other team members and the wider Compliance department in achieving the role objectives
Key objectives critical to success:
Ability to work well under pressure and balance multiple conflicting demands
Ability to clearly define, agree and communicate priorities
Ability to develop and maintain strong and mutually supportive working relationships both within Compliance and with external stakeholders
Ability to critically analyse processes, procedures and policies, identifying, proposing and implementing enhancements
Ability to adapt quickly to internal and external change
Strong analytical, written and communication skills
Ability to implement change
Ability to operate within our regulatory and internal risk frameworks
Ability to implement, evidence and maintain strong control processes
Skills, experience, qualifications and knowledge required:
Ability to represent the wider Compliance function credibly in discussions with other departments,
Ability to be decisive in reaching decisions and recommending process and policy enhancements with the ability to explain why a certain decision has been made;
Ability to collaborate and challenge senior management to ensure deliverables are met;
Demonstrable project implementation skills;
Strong inter-personal and organisational skills;
Superior time management skills;
Experience with using Word, Excel, PowerPoint;
Excellent attention to detail;
Willingness to be flexible and adapt quickly to changing demands of the role.
Experience within a Compliance environment gained at an investment bank, other large PRA/FCA authorised firm or regulatory consultancy;
Varied background within compliance including control testing and / or experience or audit methodologies applied to ensuring data completeness and integrity.