Nomura
Equities Risk & Control Officer, EMEA
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Job Title: Equities eTrading Risk and Controls – EMEA
Corporate Title: Vice President
Division: Global Equities
Location: London
Equities eTrading Risk & Controls Team Overview
The Equities eTrading Risk and Controls is a first line of defence function for low touch electronic trading within Global Equities. The team will work closely with each eTrading business and technology across Global Equities as well as Second Line functions. Equities eTrading Risk and Controls is responsible for the build out and maintenance of a robust control framework that mitigates risks associated with low touch electronic trading including conduct risk.
The eTrading Risk and Controls function is responsible for maintenance of algorithms, eTrading flow diagrams, risk control inventory and related documentation, facilitation of approval process for new algorithms and material changes, control processes and procedures etc.
The eTrading Risk and Controls function will be working with the Equity division head, desk heads, quants, technology and business COO to ensure a smooth running of etrading platforms, and to contribute to their business development. Nomura Global Markets have been investing continuously over the past few years to grow their penetration of electronic trading wallets globally.
Key Responsibilities of eTrading Governance Role:
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- Governance and oversight of Equities low touch eTrading activities in EMEA including maintenance of algorithms & risk controls inventory and related documentation, conduct annual review and attestation.
- Provide expert guidance to eTrading businesses in EMEA with respect to eTrading Governance Framework including adherence to eTrading Policy and local regulatory requirements such as MiFID II, RTS 6 and PRA supervisory statement on algo trading.
- Facilitate new algo and material change approval process, vendor due diligence.
- Work with business and second line in design and calibration of eTrading risk controls.
- Development of strategic tool for maintenance of inventory, documentation and managing workflow.
- Liaising with Regulators and Audit when required.
- Assist in development of eTrading policy, training, control processes and procedures.
- Co-ordination of regional or legal entity specific governance forums.
- Co-ordination of Risk and Control Self-Assessment and review and challenge of operational risk events.
Requirements:
- A strong understanding of algorithmic trading systems and the inherent risks involved in their use, along with various controls used to mitigate such risks.
- Strong communication skills and ability to engage with all levels of management.
- A self-starter with an ability to drive initiatives and collaborate with global counterparts on deliverables.
- Ability to analyse, interpret, re-factor and present complex data-sets. Strong Excel and presentation skills preferable.
- Knowledge of local regulations and key exchange rules relating to algorithmic trading preferable.
- Track record of sound risk management to reduce operational and conduct risk and facilitate rapid business development.
- Experience in E-Trading, Technology, Compliance, Operational Risk Management, Audit and/or other relevant function preferable.
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Diversity Statement
Nomura is committed to an employment policy of equal opportunities, and is fundamentally opposed to any less favourable treatment accorded to existing or potential members of staff on the grounds of race, creed, colour, nationality, disability, marital status, pregnancy, gender or sexual orientation.
DISCLAIMER: This Job Description is for reference only, and whilst this is intended to be an accurate reflection of the current job, it is not necessarily an exhaustive list of all responsibilities, duties, skills, efforts, requirements or working conditions associated with the job. The management reserves the right to revise the job and may, at his or her discretion, assign or reassign duties and responsibilities to this job at any time.
Nomura is an Equal Opportunity Employer
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