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About the Role

Nomura Asset Management is seeking a compliance professional to review marketing materials and client communications for regulatory compliance across UK, EU, Africa, and Middle East markets. This role provides essential regulatory guidance and support to distribution teams and compliance functions.

Responsibilities

• Review marketing materials and client communications for compliance with FCA requirements and applicable local regulatory standards across UK, EU, Africa, and Middle East markets, providing timely responses.
• Provide regulatory guidance and support to Distribution colleagues and compliance teams across group affiliates on marketing materials requirements and cross-border distribution arrangements.
• Maintain accurate records of reviews and approvals.
• Support process improvements to enhance review efficiency.

Requirements

• Minimum 2 years' experience in a compliance role within financial services, ideally within asset management or investment management.
• Strong working knowledge of FCA Conduct of Business rules, particularly relating to financial promotions and client communications.
• Experience reviewing marketing materials, presentations, and client communications for regulatory compliance.
• Excellent attention to detail with ability to identify regulatory risks and provide practical, commercial solutions.
• Strong written and verbal communication skills, with ability to explain regulatory requirements clearly to non-compliance colleagues.
• Ability to work under pressure, manage competing priorities, and deliver timely responses to meet business deadlines.
• Proficiency in Microsoft Office (Word, Excel, PowerPoint).

Skills

• FCA Conduct of Business rules
• Financial promotions
• Client communications
• Regulatory compliance
• Risk identification
• Commercial solutions
• Written communication
• Verbal communication
• Microsoft Office (Word, Excel, PowerPoint)

Location

• UK

Work Type

• Full-time

Experience Level

• Minimum 2 years

About the Company

• Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions.
• Nomura services the needs of 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, serving clients with creative solutions and considered thought leadership.
• Nomura Asset Management is headquartered in Tokyo but NAM-UK is the largest overseas office.

Equal Opportunity

• Nomura is an equal opportunity employer.
• We value diversity and are committed to creating an inclusive environment for all our employees.
• We 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.