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We are seeking a candidate with experience of delivering advisory services across a wide range of investment banking products & services and Fixed Income Research. Working within a small team, this is 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 Compliance 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
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 (Product Governance)
Leading the delivery of training to IB and Research, including annual, 'day 2' induction and bespoke training
Supporting the Private Side Compliance team initiatives, including review, creation and development of policies and procedures
Creating and maintaining private side Compliance policy and procedures and second line monitoring and review of business compliance with relevant policies and procedures
Responding to regulatory enquiries and investigations relevant to the IB business
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
In addition the role requires:
Keeping up to date with regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact IB and Research matters in EMEA
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
Compliance coverage of DCM, private side structured products and acquisition & leveraged financing businesses would be an advantage
Practical experience of the application of European and US regulations that apply to Research products and research interaction rules
Ability to work to very short deadlines and make quick and reasoned decisions
Methodical with excellent attention to detail and a strong approach to problem solving
Ability to identify issues and know when to escalate them
Excellent communication skills, both written and oral are essential, combined with strong influencing, and stakeholder management skills
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
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