Nomura Holdings, inc.
Trading Venue & Platform Governance - Risk Manager - EMEA
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Job Title: Trading Venue & Platform Governance - Risk Manager – EMEA
Corporate Title: Vice President
Division: Global Markets
Location: London, UK
Company Overview
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services a diverse range of clients—individuals, institutions, corporates, and governments—through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, delivering creative solutions and thought leadership to its clients. For further details, visit www.nomura.com.
About the Role
The Trading Venue & Platform Governance team operates within the GM eTrading Risk & Controls function, serving as a critical component of the first line of defence in Global Markets. This role offers the opportunity to work at the intersection of trading, risk management, and regulatory compliance, ensuring robust governance and control frameworks across trading venues and execution platforms.
Key Responsibilities
Venue and Platform Onboarding
- Facilitate the onboarding of new trading venues and execution platforms, collaborating with cross-functional stakeholders including:
- Trading Desks
- Compliance
- Legal
- Technology
- Operations
- Risk Management
- Conduct comprehensive risk assessments and ensure implementation of adequate controls prior to venue/platform activation.
Governance and Oversight
- Maintain the inventory of trading venues and execution platforms and coordinate:
- Periodic reviews
- Annual attestations
- Present key risks, control developments, and governance updates at relevant forums and committees.
- Partner with trading desks to:
- Establish, review, and maintain appropriate size and price limits in external high-touch execution platforms, e.g. venue GUIs.
- Own and manage the Swap Execution Facility (SEF) access request process and related controls.
- Work closely with Technology to ensure robust access control processes and governance over external high-touch platforms.
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Control Enhancement and Innovation
- Lead control enhancement projects, including initiatives such as:
- Improving data quality, completeness, and accuracy of order data for MiFID record-keeping requirements.
- Drive systemisation and optimisation of trading venue and platform inventories.
- Develop policy and procedural enhancements.
Venue and Regulatory Inquiries
- Coordinate responses to:
- Venue inquiries
- Annual due diligence questionnaires
- Requests for information
- Provide subject matter expertise for regulatory inquiries, submissions, and internal reviews.
Requirements
The job requires the following:
- Experience managing or supporting trading venue and platform onboarding and governance processes.
- A strong understanding of electronic trading risk and control frameworks.
- Strong communication skills, including the ability to engage with all levels of management.
- A self-starter with the ability to:
- Drive initiatives
- Collaborate with global counterparts on deliverables.
- Ability to:
- Analyse, interpret, re-factor, and present complex datasets.
- Prefers strong Excel and presentation skills.
- Knowledge of local regulations and key exchange rules relating to electronic trading is advantageous.
- A track record of sound risk management to:
- Reduce operational and conduct risk.
- Facilitate rapid business development.
- Experience in E-Trading, Technology, Compliance, Operational Risk Management, Audit or another relevant function is desirable.
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Nomura Leadership Behaviours
The role seeks individuals who can demonstrate:
-
Explore Insights & Vision:
- Identify the underlying causes of problems.
- Define clear vision and direction for future endeavours.
-
Making Strategic Decisions:
- Evaluate all options for resolving problems.
- Effectively manage and prioritise actions or recommendations.
-
Inspire Entrepreneurship in People:
- Inspire team members by effectively communicating ideas.
- Motivate active productivity enhancements.
-
Elevate Organizational Capability:
- Actively engage in professional development.
- Enhance team productivity through knowledge sharing.
-
Inclusion:
- Respect Diversity, Equity, and Inclusion (DEI).
- Foster a workplace culture of inclusion and psychological safety.
- Cultivate a "Risk Culture" (Challenge, Escalate, Respect).
Diversity & Inclusion
Nomura is an equal opportunity employer. We value diversity and are committed to creating an inclusive environment for all employees. Nomura:
- Does 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
- 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.
Disclaimer
This Job Description is for reference only. While it reflects the current role, it is not exhaustive of all responsibilities, duties, skills, efforts, requirements, or working conditions associated with the position. The management reserves the right to:
- Revise the job
- Assign or reassign duties and responsibilities to this position at any time.
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