Nomura Holdings, inc.
Global Markets Compliance (Vice President)
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Global Markets Compliance (Vice President)
Job Title: Global Markets Compliance
Corporate Title: Vice President Department: Compliance Location: London
Company Overview
Nomura is a global financial services group with an integrated network, connecting markets both East and West. Our services cater to individuals, institutions, corporates, and governments through our four divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking), and Banking.
Driven by 28,000 employees worldwide, we prioritise client-centric service, providing unparalleled access to and within the Asian market. For more details, visit www.nomura.com.
Department Overview
Nomura’s Compliance department ensures regulatory adherence and ethical standards across operations. The team’s dedication maintains trust with clients by aligning business practices with industry regulations and internal policies. Join us to support a culture of integrity and support client confidence.
This role is trading floor-based and will involve supporting the EMEA Compliance team to provide compliance advice to Global Markets business lines and the wider department.
Role Description
Reporting to a senior member of GM Compliance Advisory, this position requires:
- Providing comprehensive compliance coverage and addressing regulatory and operational challenges emerging from business activities.
- Focused on FX and Rates products, with support for Fixed Income trading (Credit, Equity Including Prime, Structured Products).
- Acting as a key stakeholder for applicable regulations, including MiFID, MAR, Short Selling, and PRIIPs.
- Monitoring regulatory changes and new legislation impact, briefing senior management accordingly.
- Tracking progress and reporting on regulatory projects to ensure successful implementation.
- Supporting internal and external inquiries, such as venue/exchange and regulatory investigations.
- Delivering regular and ad-hoc training to business teams.
- Producing management information and business insights based on Compliance requirements.
- Understanding the firm’s operations, products, regulatory, and commercial environment to maintain compliance policies, procedures, and standards.
- Conducting regular and ad-hoc monitoring and reviews.
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Key Responsibilities (Summary)
- Compliance advisory to European Macro Markets businesses and Fixed Income trading floor teams.
- Regulatory oversight, stakeholder engagement, and project management across compliance initiatives.
- Training and client advisory focused on policies and regulatory adherence.
- Issue resolution for complex compliance, transactional, and operational challenges.
Required Skills, Experience & Qualifications
Technical & Regulatory Knowledge
✔ Knowledge of UK and EU compliance frameworks, including lesser-regulated trading venues (cross-border applications). ✔ Experience in a trading floor environment, ideally within a Compliance or business-facing role. ✔ Understanding and/or experience with Dodd-Frank swaps regulations would be beneficial (but not mandatory). ✔ Familiarity with financial markets products (e.g., FX, fixed income, equities).
Personal & Professional Attributes
✔ Ability to perform well under pressure, shifting between tasks efficiently. ✔ Strong analytical and problem-solving skills. ✔ Commitment to the financial services industry. ✔ Black belt of attention to detail and methodical approach. ✔ Exceptional verbal and written communication skills for facilitating sales/trading desk interactions. ✔ Ability to simplify complex regulatory frameworks into accessible briefings and impact analyses.
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Talent & Collaboration Skills
✔ Organisational prowess with fast decision-making under deadlines. ✔ Team player and stakeholder manager, with strong connections within Compliance and broader departments. ✔ Willingness to adapt to a dynamic trading floor environment with constant team interaction.
Nomura Leadership Behaviours
Builds on four core principles:
- Explore Insights & Vision – Identify challenges and set a clear forward direction.
- Making Strategic Decisions – Prioritise and resolve complex issues decisively.
- Inspire Entrepreneurship in People – Engage teams through clear communication and proactive enthusiasm.
- Elevate Organizational Capability – Foster knowledge sharing and professional development.
- Promote Inclusion – Champion diversity, equity, and inclusion (DEI), ensuring psychological safety and equality.
Additional Notes
Right to Work
Prospective candidates with Tier 2 Skilled Worker visas are welcome, though applications will require evidence of a genuine need for an overseas candidate pursuing a qualified role.
Diversity & Inclusion
Nomura emphasises fairness and equality, ensuring all employees experience a diverse, respectful, and inclusive workplace. We consider applications from everyone and do not discriminate based on age, disability, gender identity, religious beliefs, race, or sexual orientation.
Reasonable adjustments may be made for any applicant with a disability or long-term health condition; please contact us regarding specific needs.
Nomura remains committed to equal opportunity hiring.
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