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We are seeking a candidate with experience of delivering Control Room services across a wide range of products. Working within the London based Control Room in a team of between 4-6 and a support team in India of 4-6, this is a key business facing role which requires an individual with excellent technical knowledge and communication skills to proactively respond to business needs whilst identifying and implementing change and development programs to enhance Control Room related procedures and systems.
This is a comprehensive Compliance coverage role, with a predominant focus on Nomura's investment banking businesses including:
Transaction advice, including conflicts analysis across a board range of investment banking products and services
Facilitation of processes and provision of advice relating to information barriers, watch lists, restricted lists, wall crossings, conflicts of interest, trading, research clearance and vetting requests and related issues
Business advice regarding the management of confidential information and inside information
Compliance support across applicable regulations and supporting regulatory change, such as Market Abuse Regulations (Insider Lists, Market Sounding etc.) and MiFID
Provision of training to Business and Corporate areas on key Control Room and IB related topics
Supporting the Private Side Compliance team initiatives, including review, creation and development of policies and procedures
Monitoring and review of business compliance with relevant policies and procedures
Preparing Compliance Management Information for senior management within the firm
Engagement with Front Office Supervision and Conduct Risk programs as appropriate
Working closely with the regional and global private side Compliance team members and also with business management on business change initiatives with Compliance impact
Working closely with other Compliance teams, risk and control functions to facilitate a cohesive control environment
Assisting with regulatory inquiries and interacting with regulators in relation to investigations related to information barriers/insider trading as well as assisting in the maintenance of internal policies and procedures
Identifying solutions and contributing to the efficiency of processes and procedures for the Global Control Room team through frequent interaction with regional colleagues
In addition the role requires:
Keeping up to date with regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact Control Room and Private Side Compliance
Interpreting regulatory consultation or discussion papers, advising senior management of their content and business impact
Participating in EU regulatory policy development through interaction with trade associations or directly with regulators
Skills, experience, qualifications and knowledge required:
Relevant Compliance experience at major investment bank, at an exchange or regulator
Ability to work to very short deadlines and make quick and reasoned decisions
Practical experience of the application of European and US regulations that apply to Research product
Ability to identify issues and know when to escalate them
A good overview in all aspects of Control Room activities, particularly regulations and best practices concerning information barriers and the ability to communicate these effectively throughout the organisation as well as the ability to establish strong contacts within the industry
Excellent communication skills, both written and verbal are essential, along with strong influencing, problem solving, organisational, and stakeholder management skills
Self-motivated, organised, and results orientated. Ambition to continue to develop and progress
Nomura is an Asia-based 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 is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com
Right to Work
The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers from outside the EEA coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the EEA (who require a Tier 2 (General) visa) we can only employ them if we can provide evidence that there are no other suitable candidates for this vacancy from inside the EEA.
Please contact us if you are visiting our offices and require any form of personal assistance or physical adaptations to be provided for your appointment. A member of staff will be happy to help.
Internal Number: 6475157
About Nomura Asset Management
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