Nomura
Global Markets Compliance (Vice President)
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Job Description
Job Title: Global Markets Compliance
Corporate Title: Vice President
Department: Compliance
Location: London
Company Overview
Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates and governments through our four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.
Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from and within Asia. For further information about Nomura, visit www.nomura.com
Department Overview
Nomura's Compliance department is at the forefront of maintaining regulatory adherence and ethical standards. Our team works diligently to ensure that our business operations align with industry regulations and internal policies. Join us to contribute to a culture of integrity and help safeguard our clients' trust.
The successful applicant will work as part of the overall EMEA Compliance team to provide compliance advice to the Global Markets businesses and the wider Compliance Department. This is a trading floor-based role.
Role Description
Reporting to a senior member of GM Compliance Advisory, the position will involve:
- Providing Compliance coverage and day to day regulatory advice to Nomura’s European Macro Markets businesses, assisting and resolving compliance, transactional and other issues arising from business activities
- This is a broad role which will encompass, inter alia, FX and Rates products
- In addition, the position involves supporting the remainder of the Global Markets Compliance team with coverage of the Fixed Income trading floor (Credit, Equity inc, Prime, Structured Products)
- Being a key stakeholder for applicable regulation (e.g. MIFID, MAR, Short Selling, PRIIPs)
- Keeping up to date with regulatory changes affecting the business
- Analysing and assessing new regulations and briefing senior management accordingly
- Being a stakeholder in regulatory projects, tracking progress and reporting results to ensure efficient and successful implementation
- Participating in internal and external enquiries including venue/exchange enquiries, regulatory enquiries
- The provision of regular and ad hoc training to the business
- The provision of management information
- Understanding and keeping up to date with the firm’s business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance policies, procedures and standards are implemented
- Performing regular and ad-hoc monitoring and reviews
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Skills, Experience, Qualifications and Knowledge Required
- Knowledge of rules and regulations relevant to a Global Markets business (UK, EU, trading venue, cross border etc.)
- Experience of a trading floor, business-facing Compliance role is required
- Dodd-Frank swaps knowledge would be beneficial but not a pre-requisite
- Ability to work well under pressure and move between tasks quickly
- Strong approach to problem solving
- Genuine interest in the Financial Services industry
- Willingness to work in a trading floor environment with constant interaction
- Methodical with excellent attention to detail
- Good verbal and written communications skills with ability to communicate with sales/trading desks and relevant corporate support functions
- Well-developed analytical skills and ability to distil large quantities of complex information into high level briefings and impact analysis
- Strong organisational skills and an ability to work to short deadlines
- Good team player with strong stakeholder management skills who can interact well with peers and senior management within the Compliance team and in other divisions
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Nomura Leadership Behaviours
- Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
- Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
- Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
- Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
- Inclusion: Respect DEI, foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).
Right to Work
The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role.
Diversity & Inclusion
Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.
If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.
Nomura is an Equal Opportunity Employer
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